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Investigative Policy

Investigative Policy. Investigating Allegations of Staff Sexual Misconduct with Offenders The National Institute of Corrections/ Washington College of Law July 9-14 2006. Objectives. Review the elements of effective investigative policies

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Investigative Policy

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  1. Investigative Policy Investigating Allegations of Staff Sexual Misconduct with Offenders The National Institute of Corrections/ Washington College of Law July 9-14 2006

  2. Objectives • Review the elements of effective investigative policies • Identify the link between policy and investigative decisions • Outline the process for policy development • Assess policy effectiveness • Clarify limitations of investigative policies Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  3. Elements of effective investigative policies • Exists • Investigating authority or not • Consistent with statute(s), CBAs, administrative rules • Coverage • Definitions • Chain of Command • Accountability • Protocols • Report Formats • Review • Closing • Referrals Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  4. Exists Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  5. Consistent with: • Statute(s) • PREA (definitions and reporting) • BJA • Professional standards/state standards • Collective Bargaining Units • Administrative rules • Memoranda of Agreements Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  6. Coverage • Criminal vs. Administrative • No neat packages • Inquiry/ Preliminary • Notifications • Authorize investigation • Who can be investigated? • Contract language • Visitor? • How reports received • Come in and file a complaint? • Must be in writing? Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  7. Definitions • Administrative vs. Criminal • Investigation vs. Inquiry • BJA definitions • Nonconsensual sexual acts • Abusive sexual contacts • Staff sexual misconduct • Staff sexual harassment Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  8. Chain of Command • Clean and distinct lines of authority to authorize, conduct, supervise and conclude investigations • Dilemma of criminal and administrative Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  9. Accountability • Timelines and frequency of updates • To whom • Method and venue • Progress to Completion • When to stop investigations • Link analysis • Coordination with stakeholders • Management of victim, witnesses, perpetrator Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  10. Referral for prosecution • Follow-Up • Value-added • Victims, witnesses, perpetrators Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  11. Protocols • Investigative Sequence • Checklists • Investigations 101 • Management of victim, witnesses, perpetrator • Health and mental health issues • During and after the investigation • Responsibilities of all parties (MOA) • Stakeholders’ involvement • Investigative Techniques • Prohibitions • Authorizations • Employee related (DNA, financial, etc.) Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  12. Protocols, continued • Information communicated to staff and offenders • During investigation • After investigation • Value-added • Media and public relations Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  13. Report Format • How its packaged • Tense • Information sequence • Inclusions • Exclusions • Findings • Conclusions • Required signatures • Distribution • Referral • Follow-Up/ Additional Data Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  14. Review • Who? • When? • Change? Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  15. Closing • Authority • Signatures and approvals • Refer to administrative or criminal sanctions • Media and public information Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  16. Disposition and Conclusion • BJA Definitions • Substantiated • Unsubstantiated • Unfounded • Investigation on-going • Conclusions • Who decides Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  17. Investigations by Outside Law Enforcement – MOAs – CLARIFY: • Role of agency in reviewing protocols, decision-points, consultants, in-put, etc. • Access to facility and potential evidence, witnesses, etc. • Access into the facility, escorts, timeliness • Review authority of final report • When informed of security issues, progress • Need to know • Notified/involved when case referred for prosecution, or not Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  18. Using Policy to Make Investigative Decisions • Consistency in decisions • Continuity of decisions • Integrity of decision process • Basis of investigation • Defensible decision • Referral for prosecutions • Value-added Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  19. Process for policy development • Statutory limitations • What employees must do, or must NOT do • Participation by: • Law enforcement • Victim advocates • Sexual assault treatment center • EMS • Prosecutors • Employees • Medical and mental health • Who else? Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  20. Process for policy development • Data and reporting • Evaluation • Process • Investigators • Outcomes • Amending policies in other areas (value-added) Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  21. Evaluation Process Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  22. Number of complaints “Inconclusives” Spikes in reporting Source of allegations Timeliness of allegations False allegations Time lines to conclusions Changes in behaviors? Interviews with staff Offender grievances Turnover of investigators Prosecution Outcomes Basis for decision to not prosecute Employee grievances Union Nature of allegations What else? Policy Effective? Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  23. Daskalea v. DC, 227 F.3d 433 (D.C. Cir. 2000) • Plaintiff awarded $350,000 in compensatory damages and $5 million in punitive damages by jury • Abuse began when she entered jail • Rumors that she was an FBI agent • Two assaults • Striptease • Municipality’s court ordered sexual misconduct policy could not insulate agency even though guard’s acts were against policy • No training on policy • Never gave policy to staff or inmates • Policy not posted • Municipality was indifferent to violations Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  24. Challenges • Leadership • Role modeling behaviors and commitment, continuity • Culture and history • Unions • Past attempts to address sensitive issues • Code of silence • Procedures are in synch with policy • Employee training • Competency of investigators and investigations • Including those not your own Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  25. Challenges, continued: • Offender programming • Gender responsive • Equality and parity Effective investigative protocols/practices • Resources and equipment • Demystifying the investigative process • Gaining cooperation and commitment from the investigating authority • Gaining cooperation and commitment from prosecutors Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  26. Challenges, continued: • Public and media understanding • Aligning contracts • Consistently involving stakeholders • Transparency Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  27. Limitations of Investigative Policy • Good policy does not guarantee successful investigations, but may guarantee effective investigations • Cannot be all inclusive of all investigative nuances • Does not substitute for investigative competency and commitment – from investigators and leaders • Cannot sustain its own existence • Training • Accountability • Must continue to secure buy-in of employees, offenders, prosecutors, judges, the public • Evaluation, assessment, adjustment • Transparency Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

  28. The Impact of Effective Investigative Policy • Demystifies investigative process • Enhances thoroughness of process • Facilitates integrity of process • Facilitates accountability throughout process • Facilitates timeliness • Facilitates cultural change • Facilitates identification of management and training issues Developed by Susan McCampbell under NIC Cooperative Agreement 06S20GJJ1

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