This project aims to tackle some of the hardest questions, where courts, legislatures, and police are most in need of guidance. This project is currently divided into seven parts, each containing various Chapters on police principles. The parts are: Overarching Principles Of Policing; Principles of Search And Seizure; Use of Force; Technology; Databases; Principles Of Evidence Gathering; Remedies and Accountability.
Reporter:
Barry Friedman, New York University School of Law, New York, NY
Associate Reporters:
Brandon L. Garrett, University of Virginia School of Law, Charlottesville, VA
Rachel A. Harmon, University of Virginia School of Law, Charlottesville, VA
Tracey L. Meares, Yale Law School, New Haven, CT
Christopher Slobogin, Vanderbilt University Law School, Nashville, TN
Project Fellow
Maria Ponomarenko, New York University School of Law, New York, NY
TABLE OF CONTENTS
Section Page
Project Status at a Glance ......................................................................... xv
Foreword ................................................................................................... xvi
Reporter’s Memorandum ......................................................................... xviii
Projected Overall Table of Contents .......................................................... xxi
CHAPTER 1
GENERAL PRINCIPLES OF SOUND POLICING
§ 1.12. Interacting with Vulnerable Populations ........................................... 1
§ 1.13. Interacting with and Supporting Victims of Crime ............................. 7
CHAPTER 4
POLICE ENCOUNTERS
§ 4.0x. Police-Involved Pursuits ................................................................... 13
CHAPTER 9
FORENSIC-EVIDENCE GATHERING
§ 9.01. General Principles for Forensic Evidence
[revised following approval at the 2021 Annual Meeting] ........................ 22
§ 9.06. Disclosure of Forensic Evidence
[revised following approval at the 2021 Annual Meeting] ........................ 33
CHAPTER 12
INFORMANTS AND UNDERCOVER AGENTS
§ 12.01. General Principles for Informants and Undercover Agents ................ 40
§ 12.02. Assessing the Propriety of Using an Informant ................................... 51
§ 12.03. Assessing the Reliability of Evidence from Informants ........................ 58
§ 12.04. Documentation and Disclosure of Informant Evidence ........................ 63
§ 12.05. Involvement by Informants in Criminal Activity ..................................... 72
§ 12.06. Oversight of Benefits to Informants ...................................................... 76
§ 12.07. General Principles for Undercover Officers ........................................... 80
CHAPTER 14
ROLE OF OTHER ACTORS IN PROMOTING SOUND POLICING
§ 14.01. The Responsibility of Other Actors Regarding Sound Policing ................. 86
§ 14.02. Legislative Responsibilities to Ensure Sound Policing .............................. 92
§ 14.03. Statutory Remedies for Violations ............................................................ 101
§ 14.04. Judicial Responsibilities with Regard to the Policing Function .................. 116
§ 14.05. Prosecutor and Other Public Attorney Responsibilities for Ensuring
Sound Policing .......................................................................................................... 131
§ 14.06. The Federal Government’s Role in Policing ................................................ 142
§ 14.07. External Oversight of Policing Agencies ...................................................... 154
§ 14.08. Minimizing Interference with Officer Accountability ....................................... 165
§ 14.09. Promoting a Holistic Approach to Public Safety ............................................. 174
§ 14.10. Data Collection and Transparency .................................................................. 182
§ 14.11. Research in Support of Sound Policing ........................................................... 195
§ 14.12. Criminal Investigation of Officers ...................................................................... 206
§ 14.13. Certification and Decertification of Law-Enforcement Officers .......................... 210
§ 14.14. National Database of Decertifications ............................................................... 218
§ 14.15. The Role of Private Actors in Fostering Sound Policing .................................... 221
Appendix A. Comparison of §§ 9.01 and 9.06 from Tentative Draft No. 3
to Tentative Draft No. 4 ................................................................................................ 228
Appendix B. Black Letter of Tentative Draft No. 4 ..................................................... 248
Appendix C. Black Letter of Sections Approved by Membership ............................ 262
Tentative Draft No. 4 contains Sections of Chapter 1, General Principles of Sound Policing, and Chapter 4, Police Encounters; revised versions of two Sections of Chapter 9, Forensic-Evidence Gathering; and all of Chapter 12, Informants and Undercover Agents, and Chapter 14, Role of Other Agencies in Promoting Sound Policing. The membership voted to approve this draft at the 2022 Annual Meeting, subject to the discussion at the Meeting and editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.
TABLE OF CONTENTS
Section Page
Project Status at a Glance ......................................................................... xv
Foreword ................................................................................................... xvi
Reporter’s Memorandum ......................................................................... xviii
Projected Overall Table of Contents .......................................................... xxi
CHAPTER 1
GENERAL PRINCIPLES OF SOUND POLICING
§ 1.12. Interacting with Vulnerable Populations ........................................... 1
§ 1.13. Interacting with and Supporting Victims of Crime ............................. 7
CHAPTER 4
POLICE ENCOUNTERS
§ 4.0x. Police-Involved Pursuits ................................................................... 13
CHAPTER 9
FORENSIC-EVIDENCE GATHERING
§ 9.01. General Principles for Forensic Evidence
[revised following approval at the 2021 Annual Meeting] ........................ 22
§ 9.06. Disclosure of Forensic Evidence
[revised following approval at the 2021 Annual Meeting] ........................ 33
CHAPTER 12
INFORMANTS AND UNDERCOVER AGENTS
§ 12.01. General Principles for Informants and Undercover Agents ................ 40
§ 12.02. Assessing the Propriety of Using an Informant ................................... 51
§ 12.03. Assessing the Reliability of Evidence from Informants ........................ 58
§ 12.04. Documentation and Disclosure of Informant Evidence ........................ 63
§ 12.05. Involvement by Informants in Criminal Activity ..................................... 72
§ 12.06. Oversight of Benefits to Informants ...................................................... 76
§ 12.07. General Principles for Undercover Officers ........................................... 80
CHAPTER 14
ROLE OF OTHER ACTORS IN PROMOTING SOUND POLICING
§ 14.01. The Responsibility of Other Actors Regarding Sound Policing ................. 86
§ 14.02. Legislative Responsibilities to Ensure Sound Policing .............................. 92
§ 14.03. Statutory Remedies for Violations ............................................................ 101
§ 14.04. Judicial Responsibilities with Regard to the Policing Function .................. 116
§ 14.05. Prosecutor and Other Public Attorney Responsibilities for Ensuring
Sound Policing .......................................................................................................... 131
§ 14.06. The Federal Government’s Role in Policing ................................................ 142
§ 14.07. External Oversight of Policing Agencies ...................................................... 154
§ 14.08. Minimizing Interference with Officer Accountability ....................................... 165
§ 14.09. Promoting a Holistic Approach to Public Safety ............................................. 174
§ 14.10. Data Collection and Transparency .................................................................. 182
§ 14.11. Research in Support of Sound Policing ........................................................... 195
§ 14.12. Criminal Investigation of Officers ...................................................................... 206
§ 14.13. Certification and Decertification of Law-Enforcement Officers .......................... 210
§ 14.14. National Database of Decertifications ............................................................... 218
§ 14.15. The Role of Private Actors in Fostering Sound Policing .................................... 221
Appendix A. Comparison of §§ 9.01 and 9.06 from Tentative Draft No. 3
to Tentative Draft No. 4 ................................................................................................ 228
Appendix B. Black Letter of Tentative Draft No. 4 ..................................................... 248
Appendix C. Black Letter of Sections Approved by Membership ............................ 262
Tentative Draft No. 4 contains Sections of Chapter 1, General Principles of Sound Policing, and Chapter 4, Police Encounters; revised versions of two Sections of Chapter 9, Forensic-Evidence Gathering; and all of Chapter 12, Informants and Undercover Agents, and Chapter 14, Role of Other Agencies in Promoting Sound Policing. The membership voted to approve this draft at the 2022 Annual Meeting, subject to the discussion at the Meeting and editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.
TABLE OF CONTENTS
Section Page
Project Status at a Glance ................................................................................ xix
Foreword ........................................................................................................... xxi
Reporter’s Memorandum ................................................................................. xxiii
Projected Overall Table of Contents ............................................................... xxvii
CHAPTER 1
GENERAL PRINCIPLES OF SOUND POLICING
§ 1.03. Constitutional Policing ............................................................................... 1
§ 1.09. Furthering Legitimate Policing Objectives ................................................. 4
§ 1.10. Policing for the Purposes of Revenue Generation .................................... 6
§ 1.11. Policing on the Basis of Protected Characteristics or First Amendment
Activity .................................................................................................................. 10
CHAPTER 2
GENERAL PRINCIPLES OF SEARCHES, SEIZURES, AND INFORMATION GATHERING
§ 2.01. Suspicion-Based and Suspicionless Policing Activity. ............................... 17
§ 2.02. Information Gathering ................................................................................ 20
§ 2.03. Establishing Prior Justification for Government Action through Warrants
and Recordings....................................................................................................... 29
§ 2.04. Use of Pretextual Policing .......................................................................... 37
§ 2.05. Acquiring or Accessing Data, Records, or Physical Evidence Held by
Third Parties ........................................................................................................... 42
§ 2.06. Police Use of Algorithms and Profiles ......................................................... 55
§ 2.07. Heightened Intrusions ................................................................................. 65
§ 2.08. Limiting the Impact of Outstanding Warrants .............................................. 69
CHAPTER 3
POLICING WITH INDIVIDUALIZED SUSPICION
§ 3.01. Definition and Legality of Suspicion-Based Searches, Seizures, and
Information Gathering ............................................................................................... 77
§ 3.02. Appropriate Safeguards ................................................................................ 79
§ 3.03. Minimization .................................................................................................. 89
§ 3.04. Documentation, Auditing, and Reporting ....................................................... 91
§ 3.05. Notification to Courts and Targets of Investigations ....................................... 96
CHAPTER 5
POLICING IN THE ABSENCE OF INDIVIDUALIZED SUSPICION
§ 5.01. Definition and Legality of Suspicionless Policing Activity .............................. 105
§ 5.02. Need for Written Policies ............................................................................... 112
§ 5.03. Justification .................................................................................................... 118
§ 5.04. Nondiscrimination in Determining the Targeted Group .................................. 120
§ 5.05. Constraining Discretion .................................................................................. 124
§ 5.06. Suspicionless Police Activity Beyond the Authorized Scope .......................... 130
CHAPTER 6
POLICING DATABASES
§ 6.01. Authorization .................................................................................................... 135
§ 6.02. Purging of Databases ....................................................................................... 145
§ 6.03. Accuracy ........................................................................................................... 150
§ 6.04. Security ............................................................................................................. 157
§ 6.05. Police Access to Databases .............................................................................. 160
§ 6.06. Accountability ..................................................................................................... 163
CHAPTER 8
GENERAL PRINCIPLES FOR COLLECTING AND PRESERVING RELIABLE EVIDENCE FOR THE ADJUDICATIVE PROCESS
§ 8.01. General Principles for Evidence Collection, Analysis, and Preservation ............ 169
§ 8.02. Documenting Evidence ....................................................................................... 173
§ 8.03. Disclosure of Evidence ....................................................................................... 177
§ 8.04. Preservation and Retention of Evidence ............................................................ 182
§ 8.05. Cognitive Bias and Evidence Collection ............................................................. 184
CHAPTER 9
FORENSIC-EVIDENCE GATHERING
§ 9.01. General Principles for Forensic Evidence ........................................................ 187
§ 9.02. Forensic-Evidence Collection ........................................................................... 195
§ 9.03. Policies for Forensic Testing ............................................................................. 198
§ 9.04. Quality Controls and Performance Testing ....................................................... 200
§ 9.05. Minimizing Human Factors in the Evaluation of Forensic Evidence ................. 204
§ 9.06. Disclosure of Forensic Evidence ...................................................................... 207
§ 9.07. Forensic-Evidence Preservation ...................................................................... 212
CHAPTER 13
PROMOTING SOUND POLICING WITHIN AGENCIES
§ 13.01. Agency Role in Promoting Sound Policing ........................................................... 217
§ 13.02. Recruitment and Hiring ......................................................................................... 218
§ 13.03. Adequate Training for Agency Employees ............................................................ 229
§ 13.04. Promoting Officer Well-being ................................................................................ 236
§ 13.05. Supervision ........................................................................................................... 241
§ 13.06. Individual Responsibility to Promote Sound Policing ............................................ 247
§ 13.07. Responding to Allegations of Misconduct .............................................................. 251
§ 13.08 Incident Review ....................................................................................................... 258
Appendix A. Black Letter of Tentative Draft No. 3 .............................................. 263
Appendix B. Black Letter of Sections Approved by Membership .................... 281
Tentative Draft No. 3 contains additions to Chapter 1, General Principles of Sound Policing; Chapter 2, General Principles of Searches, Seizures, and Information Gathering; Chapter 3, Policing with Individualized Suspicion; Chapter 5, Policing in the Absence of Individualized Suspicion; Chapter 6, Policing Databases; Chapter 8, General Principles for Collecting and Preserving Reliable Evidence for the Adjudicative Process; Chapter 9, Forensic-Evidence Gathering; and Chapter 13, Promoting Sound Policing Within Agencies. This draft was approved by the membership at the 2021 Annual Meeting, subject to the discussion at the Meeting and to editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.
TABLE OF CONTENTS
Section Page
Project Status at a Glance ........................................................................................ xv
Foreword ................................................................................................................. xvii
Reporters’ Memorandum .......................................................................................... xxi
Projected Overall Table of Contents ......................................................................... xxv
CHAPTER 1
GENERAL PRINCIPLES
§ 1.01. Scope and Applicability of Principles ............................................................... 1
§ 1.02. Goals of Policing .............................................................................................. 4
§ 1.03. Reducing Harm ................................................................................................ 5
§ 1.04. Transparency and Accountability .................................................................... 12
§ 1.05. Written Rules, Policies, and Procedures ......................................................... 15
§ 1.06. Promoting Police Legitimacy ........................................................................... 22
§ 1.07. Community Policing ......................................................................................... 25
CHAPTER 4
POLICE ENCOUNTERS
§ 4.01. Officer-Initiated Encounters with Individuals ..................................................... 35
§ 4.02. Justification for Encounters ............................................................................... 39
§ 4.03. Ensuring the Legitimacy of Police Encounters .................................................. 46
§ 4.04. Permissible Intrusions During Stops .................................................................. 54
§ 4.05. Minimizing Intrusiveness of Stops and Arrests .................................................. 55
§ 4.06. Consent Searches .............................................................................................. 60
§ 4.07. Searches Incident to a Lawful Custodial Arrest .................................................. 65
CHAPTER 10
EYEWITNESS IDENTIFICATIONS
§ 10.01. General Principles for Eyewitness Identification Procedures ......................... 73
§ 10.02. Eyewitness Identification Procedures ............................................................. 77
§ 10.03. Threshold for Conducting Eyewitness Identifications ...................................... 83
§ 10.04. Showup Procedures ........................................................................................ 86
§ 10.05. Blind or Blinded Procedures ............................................................................ 90
§ 10.06. Obtaining and Documenting Eyewitness Confidence Statements ................... 92
§ 10.07. Reinforcement or Feedback ............................................................................. 95
§ 10.08. Recording Eyewitness Identification Procedures ............................................. 96
CHAPTER 11
POLICE QUESTIONING
§ 11.01. Objectives of Police Questioning ........................................................................... 99
§ 11.02. Recording of Police Questioning .......................................................................... 107
§ 11.03. Informing Persons of Their Rights Prior to Questioning ........................................ 112
§ 11.04. Conducting Police Questioning ............................................................................. 114
§ 11.05. Questioning of Members of Vulnerable Populations .............................................. 119
Appendix A. Black Letter of Tentative Draft No. 2 ............................................... 125
Appendix B. Other Relevant Black-Letter Text .................................................... 135
Tentative Draft No. 2 contains portions of Chapter 1, General Principles (§§ 1.01-1.07); Chapter 4, Police Encounters; Chapter 10, Eyewitness Identifications; and Chapter 11, Police Questioning. The draft was approved by the membership at the 2019 Annual Meeting, subject to the discussion at the Meeting and to the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text of the entire project is published.
TABLE OF CONTENTS
Section Page
Project Status at a Glance ........................................................................................ xv
Foreword ................................................................................................................. xvii
Reporters’ Memorandum .......................................................................................... xxi
Projected Overall Table of Contents ......................................................................... xxv
CHAPTER 1
GENERAL PRINCIPLES
§ 1.01. Scope and Applicability of Principles ............................................................... 1
§ 1.02. Goals of Policing .............................................................................................. 4
§ 1.03. Reducing Harm ................................................................................................ 5
§ 1.04. Transparency and Accountability .................................................................... 12
§ 1.05. Written Rules, Policies, and Procedures ......................................................... 15
§ 1.06. Promoting Police Legitimacy ........................................................................... 22
§ 1.07. Community Policing ......................................................................................... 25
CHAPTER 4
POLICE ENCOUNTERS
§ 4.01. Officer-Initiated Encounters with Individuals ..................................................... 35
§ 4.02. Justification for Encounters ............................................................................... 39
§ 4.03. Ensuring the Legitimacy of Police Encounters .................................................. 46
§ 4.04. Permissible Intrusions During Stops .................................................................. 54
§ 4.05. Minimizing Intrusiveness of Stops and Arrests .................................................. 55
§ 4.06. Consent Searches .............................................................................................. 60
§ 4.07. Searches Incident to a Lawful Custodial Arrest .................................................. 65
CHAPTER 10
EYEWITNESS IDENTIFICATIONS
§ 10.01. General Principles for Eyewitness Identification Procedures ......................... 73
§ 10.02. Eyewitness Identification Procedures ............................................................. 77
§ 10.03. Threshold for Conducting Eyewitness Identifications ...................................... 83
§ 10.04. Showup Procedures ........................................................................................ 86
§ 10.05. Blind or Blinded Procedures ............................................................................ 90
§ 10.06. Obtaining and Documenting Eyewitness Confidence Statements ................... 92
§ 10.07. Reinforcement or Feedback ............................................................................. 95
§ 10.08. Recording Eyewitness Identification Procedures ............................................. 96
CHAPTER 11
POLICE QUESTIONING
§ 11.01. Objectives of Police Questioning ........................................................................... 99
§ 11.02. Recording of Police Questioning .......................................................................... 107
§ 11.03. Informing Persons of Their Rights Prior to Questioning ........................................ 112
§ 11.04. Conducting Police Questioning ............................................................................. 114
§ 11.05. Questioning of Members of Vulnerable Populations .............................................. 119
Appendix A. Black Letter of Tentative Draft No. 2 ............................................... 125
Appendix B. Other Relevant Black-Letter Text .................................................... 135
Tentative Draft No. 2 contains portions of Chapter 1, General Principles (§§ 1.01-1.07); Chapter 4, Police Encounters; Chapter 10, Eyewitness Identifications; and Chapter 11, Police Questioning. The draft was approved by the membership at the 2019 Annual Meeting, subject to the discussion at the Meeting and to the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text of the entire project is published.
TABLE OF CONTENTS
Section Page
Foreword ....................................................................................................................... xv
Reporter’s Memorandum .............................................................................................. xix
Projected Overall Table of Contents ............................................................................ xxix
PART III
USE OF FORCE
CHAPTER 5
USE OF FORCE
§ 5.01. Scope and Applicability of Principles .................................................................... 1
§ 5.02. Objectives of the Use of Force .............................................................................. 2
§ 5.03. Minimum Force Necessary .................................................................................... 6
§ 5.04. De-escalation and Force Avoidance ..................................................................... 13
§ 5.05. Proportional Use of Force ..................................................................................... 16
§ 5.06. Instructions and Warnings ..................................................................................... 23
Revised Tentative Draft No. 1 contains Part III, Chapter 5, Use of Force. The draft was approved by the membership at the 2017 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.
TABLE OF CONTENTS
Section Page
Foreword ......................................................................................................................... xv
Reporter’s Memorandum ................................................................................................ xix
Projected Overall Table of Contents .............................................................................. xxix
PART III
USE OF FORCE
CHAPTER 5
USE OF FORCE
§ 5.01. Objectives of the Use of Force ............................................................................... 1
§ 5.02. Minimum Force Necessary ..................................................................................... 4
§ 5.03. De-escalation and Force Avoidance ..................................................................... 12
§ 5.04. Proportional Use of Force ..................................................................................... 16
§ 5.05. Instructions and Warnings .................................................................................... 21
Appendix: Black Letter of Tentative Draft No. 1 ......................................................... 25
Tentative Draft No 1 contains Part III, Chapter 5, Use of Force. The draft was approved by the membership at the 2017 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.
TABLE OF CONTENTS
Section Page
Foreword ......................................................................................................................... xv
Reporter’s Memorandum ................................................................................................ xix
Projected Overall Table of Contents .............................................................................. xxix
PART III
USE OF FORCE
CHAPTER 5
USE OF FORCE
§ 5.01. Objectives of the Use of Force ............................................................................... 1
§ 5.02. Minimum Force Necessary ..................................................................................... 4
§ 5.03. De-escalation and Force Avoidance ..................................................................... 12
§ 5.04. Proportional Use of Force ..................................................................................... 16
§ 5.05. Instructions and Warnings .................................................................................... 21
Appendix: Black Letter of Tentative Draft No. 1 ......................................................... 25
Tentative Draft No 1 contains Part III, Chapter 5, Use of Force. The draft was approved by the membership at the 2017 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.