SPRINGER BRIEFS IN ETHICS Seumas Miller Corruption and Anti-Corruption in Policing— Philosophical and Ethical Issues 123 SpringerBriefs in Ethics More information about this series at http://www.springer.com/series/10184 Seumas Miller Corruption and Anti-Corruption — in Policing Philosophical and Ethical Issues 123 SeumasMiller CharlesSturt University Canberra,ACT Australia and Delft University of Technology Delft Netherlands and University of Oxford Oxford UnitedKingdom ISSN 2211-8101 ISSN 2211-811X (electronic) SpringerBriefs inEthics ISBN978-3-319-46990-4 ISBN978-3-319-46991-1 (eBook) DOI 10.1007/978-3-319-46991-1 LibraryofCongressControlNumber:2016952882 ©TheAuthor(s)2016 Thisworkissubjecttocopyright.AllrightsarereservedbythePublisher,whetherthewholeorpart of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission orinformationstorageandretrieval,electronicadaptation,computersoftware,orbysimilarordissimilar methodologynowknownorhereafterdeveloped. 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Printedonacid-freepaper ThisSpringerimprintispublishedbySpringerNature TheregisteredcompanyisSpringerInternationalPublishingAG Theregisteredcompanyaddressis:Gewerbestrasse11,6330Cham,Switzerland Contents 1 Criminal Law, Morality and the Institution of the Police ..... .... 1 1.1 Criminal Law and Social Morality.... .... .... .... ..... .... 1 1.2 Law, Morality and Facts.... .... .... .... .... .... ..... .... 9 1.3 A Normative Theory of Policing . .... .... .... .... ..... .... 13 1.4 Police Independence.. ..... .... .... .... .... .... ..... .... 17 References.. .... .... .... ..... .... .... .... .... .... ..... .... 21 2 Police Corruption ... .... ..... .... .... .... .... .... ..... .... 23 2.1 Corruption . .... .... ..... .... .... .... .... .... ..... .... 23 2.2 Causes of Police Corruption. .... .... .... .... .... ..... .... 27 2.3 Combating Police Corruption: A General Strategy.... ..... .... 30 References.. .... .... .... ..... .... .... .... .... .... ..... .... 36 3 Noble Cause Corruption in Policing . .... .... .... .... ..... .... 39 3.1 Noble Cause Corruption.... .... .... .... .... .... ..... .... 40 3.2 Morally Justifiable Noble Cause Corruption?.... .... ..... .... 42 3.3 Noble Cause Corruption as a Defining Feature of Policing .. .... 48 References.. .... .... .... ..... .... .... .... .... .... ..... .... 50 4 Integrity Systems for Police Organisations .... .... .... ..... .... 53 4.1 Integrity Systems .... ..... .... .... .... .... .... ..... .... 55 4.2 Holistic Integrity Systems... .... .... .... .... .... ..... .... 57 4.3 Collective Moral Responsibility .. .... .... .... .... ..... .... 59 4.4 Organisations, Collective Responsibility and Anti-corruption. .... 63 4.5 Integrity Systems for Police Organisations.. .... .... ..... .... 65 References.. .... .... .... ..... .... .... .... .... .... ..... .... 67 5 Professional Reporting and Police Culture .... .... .... ..... .... 69 5.1 Police Culture... .... ..... .... .... .... .... .... ..... .... 70 5.2 Professional Reporting and Internal Affairs Investigations ... .... 73 References.. .... .... .... ..... .... .... .... .... .... ..... .... 79 v vi Contents 6 Internal Investigations.... ..... .... .... .... .... .... ..... .... 81 6.1 Quality of Investigations: 22 Criteria .. .... .... .... ..... .... 82 6.1.1 Competence of Investigators.. .... .... .... ..... .... 82 6.1.2 Resilience of Investigator .... .... .... .... ..... .... 83 6.1.3 Independence of Investigator.. .... .... .... ..... .... 83 6.1.4 Investigation Is Lawful and Ethical. .... .... ..... .... 84 6.1.5 Compatible with Public Interest.... .... .... ..... .... 84 6.1.6 Corporate Priorities Considered.... .... .... ..... .... 85 6.1.7 Open Mindedness .. .... .... .... .... .... ..... .... 86 6.1.8 Well-planned Investigation ... .... .... .... ..... .... 87 6.1.9 Thorough Treatment of All Information/Evidence... .... 87 6.1.10 Comprehensive Recording and Preservation of All Information/Evidence .. .... .... .... ..... .... 87 6.1.11 Information/Evidence Security. .... .... .... ..... .... 88 6.1.12 Respect for Rights of Victims. .... .... .... ..... .... 88 6.1.13 Respect for Rights of Witnesses ... .... .... ..... .... 88 6.1.14 Respect for Rights of Suspects .... .... .... ..... .... 89 6.1.15 Judicious Use of Covert Tactics ... .... .... ..... .... 89 6.1.16 Informant Management.. .... .... .... .... ..... .... 90 6.1.17 Efficient and Effective Use of Public Resources .... .... 91 6.1.18 Communication with Stakeholders . .... .... ..... .... 91 6.1.19 Timeliness... ..... .... .... .... .... .... ..... .... 91 6.1.20 Professional Approach to Presentation... .... ..... .... 92 6.1.21 Accountability..... .... .... .... .... .... ..... .... 92 6.1.22 Continuous Improvement. .... .... .... .... ..... .... 93 References.. .... .... .... ..... .... .... .... .... .... ..... .... 93 7 Integrity Testing .... .... ..... .... .... .... .... .... ..... .... 95 7.1 The Ethics of Covert Operations . .... .... .... .... ..... .... 96 7.2 Integrity Tests... .... ..... .... .... .... .... .... ..... .... 98 References.. .... .... .... ..... .... .... .... .... .... ..... .... 104 Conclusion.... .... .... .... ..... .... .... .... .... .... ..... .... 105 Introduction Recent and not so recent commissions of inquiry into police corruption, including the Knapp Commission (1972) and the Mollen Commission (1994) into the New York Police Department, the Rampart Inquiry (2010) into the Los Angeles Police Department, Independent Police Complaints Commission (2015) inquiries into the London Metropolitan Police, the Fitzgerald Commission (1989) into the Queensland Police Service and the Wood Commission (1996) into the New South Wales Police Service, have uncovered corruption of a profoundly disturbing kind. Police officers have been involved in perjury, fabricating evidence, protecting pederast rings, taking drug money and selling drugs. In South Africa, police have beeninvolvedinmurder,armedrobberyandrape,aswellastheft,fraud,fabrication of evidence, and the like (Burger 2011). In many police stations in India police corruption and human rights abuses, including torture, are endemic (Lamani and Venumadhava 2013). High levels of police corruption have been a persistent his- torical tendency in many police services throughout the world (Skolnick 1967; Kappeleretal.1994;Newburn1999;Sarre2005).Corruptioninpolicingisneither new nor especially surprising. Moreover, a number of causes of police corruption have been identified (Skolnick 1967; Wilson 1968; Newburn 1999; Sarre 2005). In order to do their job effectively, police have been given a number of legal rights and de facto powers, including rights to use coercive force and instruments fordoingso(e.g.handcuffs,handguns,teargas),andwidediscretionintheexercise of these rights and powers (e.g. to decide whether or not to embark on a criminal investigation).Moreover,policehavemanyopportunitiestoabusetheserightsand powers; for example, opportunities to harass the innocent with threats or trivial charges, or to turn a blind eye to serious crime (Klockars et al. 2004). Police officers also face considerable temptations to avail themselves of these opportunities. They may be offered material inducements, such as the offer of money or favours in return for protection, or dropping of charges, for example. They may be tempted by the opportunity to express some personal prejudice, against (say) a particular racial group. Or they may be influenced by the chance to avoid what we could think of as the costs of police work. After all, a lot of police vii viii Introduction work isdangerous, tedious ortime-consuming.The temptation totake shortcuts to avoid these costs, or to seek benefits to offset these costs, is considerable. Thegeneralconcerninthisbookiswithpolicecorruptionandthemethodsused tocombatit.Theprincipalinstitutionalarrangementforpreventing,combatingand reducing corruption is a so-called integrity system (Alexandra and Miller 2010). Integrity systems can be contrasted with regulatory frameworks. A regulatory framework is a structured set of explicit laws, rules or, regulations governing behaviour, issued by some institutional authority and backed by sanctions. It may serve to ensure compliance with minimum ethical standards (namely those embodiedinalaw,ruleorregulation),butthisisonlyoneofitspurposes.Thereare numerous laws, rules and regulations that have little or nothing to do with ethics. An integrity system, by contrast, is an assemblage of institutional entities, mech- anisms and procedures, the purpose of which is to ensure compliance with mini- mum ethical standards—notably requirements not to engage in corrupt activity— andtopromotethepursuit ofethical ideals.Sointegritysystemshave aregulatory component, but they involve more than this. Thekeyethicalnotionunderpinningintegritysystemsisthatofcollectivemoral responsibility (Miller 2006). All or most members of an institution or organisation are collectively morally responsible for seeing to it that ethical behaviour and attitudes are promoted and unethical behaviour, notably corruption, is prevented, eliminated or at the very least contained within reasonable limits. The notion of collective moral responsibility in play here is complex and operates at multiple levels, e.g. managers of anti-corruption units have specialist responsibilities others might not have. An integrity system for a police organisation (Prenzler 2009) would consist in such things as: 1. Recruitment vetting process to exclude persons predisposed to crime, violence and other ethical misconduct; 2. Ethics training of recruits and ongoing professional ethics programmes for all officers; 3. Ethical leadership emphasis in training and promotion processes; 4. Fair and reasonable remuneration, promotion and other rewards processes; 5. Complaints and discipline system; 6. Welfare support systems, e.g. resilience building and stress management, substance abuse; 7. Risk management, intelligence gathering and early intervention systems; 8. Internal investigations department; 9. Pro-active anti-corruption intervention systems, e.g. targeted integrity testing; 10. Well resourced, independent, external oversight body with powers of investigation. While the general area of concern in this book is with police corruption and anti-corruption, the focus is on certain key philosophical and ethical (or moral— these terms are used more or less interchangeably) issues that arise for police organisations confronting corruption. So the book is not a criminological work on Introduction ix thespecificvarieties,contextsandcausesofpolicecorruption,norisitanextended treatment of integrity systems for police organisations or best practice in anti-corruption methods. The key philosophical and moral issues in question, and the chapters in which they are discussed, are as follows. In Chap. 1 a normative theory of policing is elaborated. It turns out that the principal institutional purpose of policing is—or, since this is a normative and not merely a descriptive theory, ought to be—the protectionofmoralrights,suchasthemoralrighttopersonalsecurity(e.g.nottobe assaulted or killed) and the moral right to property. These moral rights are ones embodied, or ones that ought to be embodied, in the criminal law; these moral rightsare,oroughttobe,legalrights.Hencethecloserelationshipbetweenpolicing and the criminal law. This normative theory provides the framework within which police corruption can be identified and assessed. For ultimately unlawful and/or immoral failure on the part of institutional actors, such as police officers, is cor- ruption precisely because it undermines institutional processes and purposes; and themoreseriousandwidespreadthecorruptionthegreatertheinstitutionaldamage. Chapter 2 begins with an analysis of institutional corruption (Miller 2011). Corruption is at bottom a species of immorality, or so it is argued. Moreover, corruption needs to be distinguished from other forms of ethical misconduct. An analysis of police corruption, in particular, is then proffered; an understanding of police corruption being the necessary precursor to what follows in later chapters. In Chap. 3 a very important species of police corruption is identified and elaborated, namely, the so-called noble cause corruption. This is corruption undertakentoachieveagoodpurpose,e.g.policeplantingadditional‘evidence’on asuspectthey know tobeguiltyinorder toensure aconviction.The phenomenon ofnoblecausecorruptionisamorallycomplexoneandthiscomplexityisoftennot well understood by police practitioners,lawyers, heads of commissions of inquiry, social scientists and others. Yet it is important that it be well understood if anti-corruption measures taken against it are to be successful. Chapter 4 provides an account of integrity systems and, especially, those ele- ments of integrity systems specifically concerned with anti-corruption. What is referred to as a holistic integrity system is argued for, and the various elements of such a system are identified. This chapter sets the scene for the remaining ones, since themoral issuestobediscussed inthese chaptersarise fromanumberofthe key elements of an integrity system for police organisations. The elements in questionareinternal investigations,integritytesting and professionalreporting.As statedearlier,thekeymoralnotioninformingintegritysystemsisthatofcollective moralresponsibility.Accordingly,Chap.4beginswithanelaborationofthatnotion before applying it to the account of the holistic integrity system for police organisations. Chapter 5 discusses the matter of the morality and rationality of professional reporting; police reporting on the corrupt behaviour of their fellow officers. Historically,thequestionofpolicereportingonpolice(‘ratting’?)hasbeenfraught. The so-called ‘blue wall of silence’ has been a barrier to such reporting and, therefore, to combating corruption in police services. The chapter includes a