Investigating Allegations of Staff Sexual Misconduct with Offenders

1. Investigating Allegations of Staff Sexual Misconduct with Offenders Operational Strategies in Investigations and Vulnerability in Operations July 10-15, 2005

2. Objectives • Identify elements of operational policy necessary to the investigation of allegations of staff sexual misconduct • Discuss key operational issues and their impact on investigations of staff sexual misconduct • Identify and discuss the impact of operational structures on investigations • Identify and discuss operational decisions that need to be made in order to conduct effective investigations • Identify and discuss techniques for making correctional environments hospitable to investigations • Identify and discuss operational practices in managing the aftermath of investigations • Identify internal and external operational linkages that are key to e a successful investigations

3. 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 Myths and Realities -- Operational Strategies

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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-

11. 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

12. 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

13. The Impact of Operational Structure On Investigations • Physical Plant • Security Structures • Cameras • Doors • Surveillance • Offender work assignments • Staffing • Management hierarchy • Reporting protocol

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. Links for Successful Investigations Continued • External • Law Enforcement • Prosecutors • Regulation Boards • Court Clerk • Victim Services • Medical • Mental Health • Educational Institutions

25. 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.