Operational Strategies in Investigations and Vulnerability in

Operations

Investigating Allegations of Staff Sexual Misconduct

with Offenders

July 10-15, 2005

Objectives

1. Identify elements of operational policy necessary to the investigation of allegations of staff sexual misconduct

2. Discuss key operational issues and their impact on investigations of staff sexual misconduct

3. Identify and discuss the impact of operational structures on investigations

4. Identify and discuss operational decisions that need to be made in order to conduct effective investigations

5. Identify and discuss techniques for making correctional environments hospitable to investigations

6. Identify and discuss operational practices in managing the aftermath of investigations

7. Identify internal and external operational linkages that are key to e a successful investigations

Myths and Realities -- Operational Strategies

Myths

• Rookie staff are a majority of the staff involved in misconduct

• Multiple reporting points only cause confusion

• Staff understands, believes in, and trusts the investigative process

• Lack of physical evidence only leads to he said/ she said

• Prosecutors are unwilling to prosecute so investigations are useless

• It is a woman’s issue

Realities

• Any staff members is at risk for staff sexual misconduct with an offender

• Multiple reporting points are necessary for both staff and offenders

• Staff so not understand or trust the investigative process

• Lack of physical evidence does not mean there is not other evidence to corroborate a complaint or other investigative techniques to be used in proving the guilt or innocence of the accused

• Prosecutors are often willing to prosecute a well supported and investigated case of staff sexual misconduct with an offender

• Occurs in both male and female correctional settings with both male and female staff and offenders involved

What we know Operational practices have an impact on

investigations Operational structures can impede or facilitate

the flow of information Operations can affect the correctional mission of

safety and security Failure to be attentive to operational issues

leaves the agency at risk for staff sexual misconduct

Training can prevent misconduct and help in investigations

You have to act

What we don’t know

What staff are going to be involved in staff sexual misconduct

We don’t have tools to predict behavior or a predisposition to sexual abuse

What the best messages are for stopping misconduct

Why we don’t know more

Lack of interface between HR, investigations, legal Resignations in lieu of termination Contractor data is infrequently collected Offender information is not collected Physical location data is not collected Discipline is often based on what can be proven,

rather than the facts No standard definitions of sexual misconduct No standardized reporting methods or procedures Unwillingness of DOCs to report outcomes publicly

Key Elements of Operational Policy

Correctional operations are guided by sound policy on staff sexual misconduct

Strong and clear Specific definitions Mandatory reporting by staff Multiple avenues for reporting by staff and offenders All allegations are investigated and documented Protection from retaliation Zero tolerance in cases where allegations are deemed

founded Training for all staff, contractors, and volunteers Orientation for offenders Protocols for linkages to units within the agency and

outside organizations

Key Elements of Operational Policy Cont’d

Good operational policies contribute to successful investigations Tours of duty by supervisors Search procedure Showering protocols Rules governing removal of inmates

from rooms/ cells Others

Key Operational Issues Demystify the investigative process for

staff and offenders Management’s lack of attention to the

needs and issues of staff Unusual “off” routine schedule activity at

work. Change in appearance Significant life crisis Defensive about certain offenders/ ownership Volunteering for extra offender activities

Key Operational Issues Failure to pay attention to other

functions of the agency Food Mental health Medical Volunteer

Lack of synergy between various functions and departments within the agency

Failure to understand needs and motivations of staff and offenders-

Key Operational Issues

Grievance Procedures that lack integrity

Lack of training Offender assignments

work assignments, assigning inmates to isolated area

when there is not sufficient staff

Key Operational Issues Integrity of investigations There is not a thorough working

knowledge of the agency’s physical plant: Key control plan. Isolation of storage areas Isolation of professional offices Specific modifications for minimal privacy Floor Plans for each building Analyze Blind Spots

The Impact of Operational Structure On Investigations

Physical Plant Security Structures

Cameras Doors Surveillance

Offender work assignments Staffing Management hierarchy Reporting protocol

Operational Decision Making Operational decisions can either support or

impede the investigation process Clearly established practices set the benchmark

for staff behavior Facilitate identification of deviations from established

rules When allegations surface, administrators/

supervisors must coordinate decision making with investigators

Critical decisions at outset can shape course of investigations

Communications with investigators as soon as possible Duties of first responders: preservation of evidence,

identification of possible witnesses etc. Involvement of health services

Making your Environment Investigations Friendly

Leadership must participate in training for both staff and offenders

Investigators should be visible throughout the institution or workplace and establish positive working relationships

First contact between staff and internal affairs should not be under adverse circumstances

Making your Environment Investigations Friendly

Red Flags, Daily Dozen, and Ethics Supervisors having more contact with staff Establish a system of checks and balances Establish information needs Insure you are getting feedback from

management and staff Coordinate efforts with medical/mental

health staff and insure clarity of roles and responsibilities with respect to confidentiality and reporting

Making your Environment Investigations Friendly

Review offender appeal data to garner information about patterns of conduct

Multiple systems of reporting Train particular staff to do different things Properly select, train and supervise

investigative staff to insure their credibility Don’t form preconceived notions about

offender or staff testimony. Allow the investigation to take you where

it goes

Making your Environment Investigations Friendly

Insure balance of male/female staff on investigative team to facilitate investigative process

Establish first responders who are trained to preserve evidence in a real time event (Rape kits, Contracts w/ outside hospital etc.)

Key into any exceptions to established policy.

Who has authority? Avoid ownership of inmates as “employees”. Monitor use of 2nd and 3rd shifts. Policy to rotate staff and offender assignments

(periodically) Assignment of offenders in isolated areas

Impact of good Operational Practices on Successful

Investigations Staff understand that security and liability

are at stake Staff understand and have confidence in

investigative process and cooperate Offenders have trust that they will be

heard and protected All relevant personnel within and outside

the organization know their roles and work together

Evidence is preserved Logs and records are clear and up-to-date Floor plans and blue prints are readily

available

Impact of good Operational Practices on Successful Investigations Cont’d

Clear post orders and operational protocols facilitate identification of violations and breaches

Supervisors have insight into behavior and motivation of subordinates and offenders

Everyone knows the rules Enhances timely access to medical and

mental health for victims Enhances agency integrity for zero-

tolerance

Managing the Aftermath Reevaluate: Investigative Policies and Procedures

Identification and preservation of evidence Documentation Do your methods work?

MOU’s with: Investigating agencies Prosecutor(s) Attorney General / other legal partners Media

Staff: Need to communicate End of investigation doesn’t end event Control gossip Guided interactions, peer debriefers Acknowledge these are tough times Discuss dangers of collateral contacts

Managing the Aftermath Leadership: Use this time to reemphasize zero-

tolerance Inclusion and teamwork Train Prevention Red flags Security and Changing culture Prevention of retaliation

Management: Timing Suspension Reassignment Termination Referrals to EAP

Links for Successful Investigations

Coordinated and multifaceted approach is the key to successful investigations

Internal Executive Leadership Institutional and Field Leadership Collective Bargaining units Resources

Medical Mental Victim Services Human Resources Records Training Classification Transportation

Links for Successful Investigations Continued

External Law Enforcement Prosecutors Regulation Boards Court Clerk Victim Services Medical Mental Health Educational Institutions

Conclusion

As long as there are human beings living and working together there will be opportunities for inappropriate interactions.

Demystifying the

investigative process & interfacing with the other management units will enhance the facility’s ability to minimize incidents of sexual misconduct.