University of Portsmouth - Institute of Criminal Justice Studies ‘Holding police accountability theory to account’ Frank C. Harris Institute of Criminal Justice Studies University of Portsmouth May 2013 This thesis is submitted as partial fulfilment of the requirements for the award of degree of Doctor of Criminal Justice of the University of Portsmouth Holding police accountability theory to account Frank Harris 1 University of Portsmouth - Institute of Criminal Justice Studies Declaration I confirm that, except where indicated through the proper use of citations and references, this is my own original work. Whilst registered as a candidate for the above degree, I have not been registered for any other research award. The results and conclusions embodied in this thesis are the work of the named candidate and have not been submitted for any other academic award. This dissertation consists of 49,594 words, excluding ancillary data such as footnotes, bibliographies, diagrams and references. Signed:…………………………………………………. Date:………………………………………………….. Holding police accountability theory to account Frank Harris 2 University of Portsmouth - Institute of Criminal Justice Studies Acknowledgements I would like to thank my dissertation supervisor, Professor Steve Savage (Institute of Criminal Justice Studies), for his support and patient guidance throughout this dissertation. I would also like to thank Reshat Maliqi, Director General of the Kosovo Police, and all the members of the Police Inspectorate of Kosovo, past and present, for their friendship and unwavering co-operation and support. Holding police accountability theory to account Frank Harris 3 University of Portsmouth - Institute of Criminal Justice Studies Contents Page Declaration 1 Acknowledgements 2 List of contents 4 List of tables and figures 8 List of abbreviations 10 Abstract 11 Chapter 1: Purpose and background to the research 12 - 1.1 Introduction 12 - 1.2 Forging the question 14 - 1.3 Research aim and objectives 19 - 1.4 Significance of the research 21 - 1.5 Structure of the thesis 25 Chapter 2: Patterns of police governance 28 - 2.1 Introduction 28 - 2.2 Grappling the slippery snake 31 - 2.3 Governance and legal accountability 36 - 2.4 Police governance dialectic 39 o Local governance dynamic 40 o Police independence dynamic 47 o Central government dynamic 49 Holding police accountability theory to account Frank Harris 4 University of Portsmouth - Institute of Criminal Justice Studies - 2.5 Dialectical shifts and some conclusions 55 Chapter 3: External citizen oversight - a remedy to misconduct and poor performance? 64 - 3.1 Introduction 64 - 3.2 Evolution of citizen oversight of police 64 - 3.3 Citizen oversight and the causes of police misconduct 67 - 3.4 Policy review as a means of reducing misconduct/ performance failure 71 - 3.5 Meaning of policy as a vehicle for reducing misconduct 75 - 3.6 The locus of police accountability 77 - 3.7 Authority to influence the causes of misconduct 81 - 3.8 Alternative triggers of policy change 83 - 3.9 Holding accountability theory to account 85 - 3.10 Some conclusions 87 Chapter 4: Methodology 92 - 4.1 Introduction 92 - 4.2 Use of a case study 93 - 4.3 Research dilemmas associated with the central research question 95 - 4.4 Potential benefits of a qualitative approach 97 - 4.5 Selecting an appropriate qualitative strategy 100 - 4.6 Mixing methods 100 - 4.7 Data gathered through use of the questionnaire 105 - 4.8 Semi-structured interviews 112 - 4.9 Ethical considerations and conclusions regarding Holding police accountability theory to account Frank Harris 5 University of Portsmouth - Institute of Criminal Justice Studies the methodology 115 - 4.10 Reflections on methodological practice 116 Chapter 5: Case Study (1) – Police Governance and Accountability in Kosovo 120 - 5.1 Introduction 120 - 5.2 A short history of police governance in Kosovo 121 - 5.3 Independence dynamic versus central dynamic 126 - 5.4 PIK’s role in police governance in Kosovo 132 - 5.5 PIK independence 134 - 5.6 PIK reactive function 136 - 5.7 PIK proactive function 142 - 5.8 Concluding note 146 Chapter 6: Case Study (2) – Police Perceptions of the PIK 147 - 6.1 Introduction 147 - 6.2 Police Inspectorate themes 148 - 6.3 Professional Standards Directorate themes 154 - 6.4 Level of misconduct themes 156 - 6.5 Semi-structured interview themes 160 - 6.6 Concluding note 164 Chapter 7: Analysis and Discussion 165 - 7.1 Introduction 165 - 7.2 Assessing PIK impact on KP performance – Secondary Data Sources 165 Holding police accountability theory to account Frank Harris 6 University of Portsmouth - Institute of Criminal Justice Studies - 7.3 Assessing the PIK impact on KP performance – Primary Data Sources 170 - 7.4 ECO’s role in police governance 176 - 7.5 Limitations of ‘holistic’ External Citizen Oversight’ 179 Chapter 8: Conclusion 183 - 8.1 Introduction 183 - 8.2 Main findings of the research 183 - 8.3 Signposts for future research 191 - 8.4 Final reflections 194 Appendix A - Interview guide and questionnaire 196 Appendix B - Notes on preparation of interview guide 213 Appendix C - Notes on design and use of questionnaire 221 Appendix D – Police Inspectorate of Kosovo Law 234 Appendix E – Questionnaire results 256 Bibliography 265 Holding police accountability theory to account Frank Harris 7 University of Portsmouth - Institute of Criminal Justice Studies List of charts, figures and tables Title Page Chart 6.1: Analysis of responses to Statements 1 – 4 150 Chart 6.2: Analysis of responses to Statements 5 & 6 155 Figure 2.1: Environmental influences on the police organization 34 Figure 2.2: Police governance dialectic 39 Figure 5.1: Interaction of police governance dynamics in Kosovo 129 Figure 7.1 Interaction of police governance dynamics 168 Table 4.1: Breakdown of Questionnaire Responses 109 Table 4.2: Research method matrix 117 Table 5.1: Legal objectives of the Police Inspectorate of Kosovo 133 Table 5.2: Complaints recorded by PIK: 2007 – 2010 138 Table 5.3: Article 25(4) – Law on the Police Inspectorate of Kosovo 143 Table 6.2: Overall results of the questionnaire study (all categories) 149 Table 6.3: KP officers who indicated that they had been investigated by PIK 257 Table 6.4: KP officers who indicated that they had NOT been investigated by PIK 258 Table 6.5: KP officers who indicated that they had been investigated by PSD 259 Table 6.6: KP officers who indicated that they had NOT been investigated by PSD 260 Table 6.7: Officers who indicated that they had made a Holding police accountability theory to account Frank Harris 8 University of Portsmouth - Institute of Criminal Justice Studies complaint against another officer 261 Table 6.8: Officers who indicated that they had NOT made a complaint against another officer 262 Table 6.9: Officers who indicated that they had given evidence against another officer 263 Table 6.10: Officers who indicated that they had NOT given evidence against another officer 264 Table 6.11: KP officers’ perceptions of common types of misconduct 157 Holding police accountability theory to account Frank Harris 9 University of Portsmouth - Institute of Criminal Justice Studies List of abbreviations CJC Criminal Justice Commission (Queensland, Australia) ECO External Citizen Oversight HMIC Her Majesty’s Inspectorate of Constabulary IPCC Independent Police Complaints Commission KP Kosovo Police MoIA Ministry of Internal Affairs (Kosovo) MuP Ministarstvo unutrašnjih poslova – Ministry of Interior (of the Federal Republic of Yugoslavia) OMiK OSCE Mission in Kosovo OSCE Organization for Security and Co-operation in Europe PIK Police Inspectorate of Kosovo PISG Provisional Institutions of Self-Government (of Kosovo) PSD Professional Standards Directorate (KP) PSU Professional Standards Unit (KP) SRSG Special Representative of the Secretary General UN CivPol United Nations Civilian Police UNDP United Nations Development Programme UNICP United Nations International Civilian Police (or ‘CivPol’) UNMIK United Nations Mission in Kosovo Holding police accountability theory to account Frank Harris 10