Investigative Policy Investigating Allegations of Staff Sexual Misconduct with Offenders July 2005

Objectives Review what makes a good investigative policy Review what makes a good investigative policy Identify what the limitations of investigative policies can be Identify what the limitations of investigative policies can be Identify how to use policy to make investigative decisions Identify how to use policy to make investigative decisions What is the impact of good investigative policy on investigations What is the impact of good investigative policy on investigations

What Makes Effective Investigative Policy? Coverage and ApplicationCoverage and Application DefinitionsDefinitions Chain of CommandChain of Command AccountabilityAccountability MethodologyMethodology Report Composition and FormatReport Composition and Format ClosingClosing Deposition and ConclusionDeposition and Conclusion

Coverage and Application Investigations Investigations Inquiry/ Preliminary Inquiry/ Preliminary How Authorized How Authorized By Whom By Whom Partnering Mandates Partnering Mandates

Definitions Administrative vs. Criminal Administrative vs. Criminal Investigation vs. Inquiry Investigation vs. Inquiry Routine vs. Aggressive Routine vs. Aggressive Disposition Legend Disposition Legend

Chain of Command Clean and distinct lines of authority Clean and distinct lines of authority Follow across, up, and down Follow across, up, and down Dual Responsibility Dual Responsibility Function v. PersonFunction v. Person Exceptions Exceptions

Accountability Timelines and Frequency Timelines and Frequency Whom Whom To whom To whom Method and Venue Method and Venue Progress to Completion Progress to Completion Referral Referral Follow-Up Follow-Up

Methodology Investigative Sequence Investigative Sequence Options, Flexibility, Discretion Options, Flexibility, Discretion Your Role Your Role Partner’s Role Partner’s Role Division of Assignments Division of Assignments Investigative Techniques Investigative Techniques Prohibitions Prohibitions Authorizations Authorizations

Report Composition/ Format How its packaged How its packaged Tense Tense Information Sequence Information Sequence Inclusions Inclusions Exclusions Exclusions Findings Findings Conclusions Conclusions Required Signatures Required Signatures Distribution Distribution Referral Referral Follow-Up/ Additional Data Follow-Up/ Additional Data

Closing Authority Authority Signatures and Approvals Signatures and Approvals Refer to administrative or criminal sanctions Refer to administrative or criminal sanctions Conditions of Release Conditions of Release

Disposition and Conclusion Sustained Sustained Not sustained Not sustained Unfounded Unfounded Exonerated Exonerated Other Other

Limitations of Investigative Policy Good policy does not guarantee successful investigations Good policy does not guarantee successful investigations Does not substitute for investigative competency and passion Does not substitute for investigative competency and passion Cannot be all inclusive of all investigative sequence and nuances Cannot be all inclusive of all investigative sequence and nuances Cannot sustain its own existence Cannot sustain its own existence TrainingTraining AccountabilityAccountability UnderstandingUnderstanding ReviewReview ModificationModification

Using Policy to Make Investigative Decisions Consistency in decisions Consistency in decisions Continuity of decisions Continuity of decisions Integrity of decision process Integrity of decision process Basis of investigation Basis of investigation Defensible decision Defensible decision

Challenges and Dilemmas Leadership Leadership Role modeling behaviors and commitmentRole modeling behaviors and commitment Culture and history Culture and history UnionsUnions Past attempts to address sensitive issuesPast attempts to address sensitive issues Procedures are in “synch” with policy Procedures are in “synch” with policy Training Training Offender programming Offender programming Gender responsiveGender responsive InclusiveInclusive Equality and parityEquality and parity Investigative protocols/practices Investigative protocols/practices Demystifying the internal affairsDemystifying the internal affairs Ability to conduct investigationsAbility to conduct investigations

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 Plaintiff awarded $350,000 in compensatory damages and $5 million in punitive damages by jury Abuse began when she entered jailAbuse began when she entered jail Rumors that she was an FBI agentRumors that she was an FBI agent Two assaultsTwo assaults StripteaseStriptease Municipality’s court ordered sexual misconduct policy could not insulate agency even though guard’s acts were against policy Municipality’s court ordered sexual misconduct policy could not insulate agency even though guard’s acts were against policy No training on policyNo training on policy Never gave policy to staff or inmatesNever gave policy to staff or inmates Policy not postedPolicy not posted Municipality was indifferent to violationsMunicipality was indifferent to violations

Your Policies and Procedures Does your investigative policy cover the essential issues? Does your investigative policy cover the essential issues? Is there accountability? Is there accountability? What are the limitations and benefits of your policy? What are the limitations and benefits of your policy? Dies your policy allow you to make decisions that lead to successful investigations Dies your policy allow you to make decisions that lead to successful investigations

The Impact of Good Policy on Investigations Demystifies investigative process Demystifies investigative process Enhances thoroughness of process Enhances thoroughness of process Facilitates integrity of process Facilitates integrity of process Facilitates accountability throughout process Facilitates accountability throughout process Facilitates timeliness Facilitates timeliness Facilitates cultural change Facilitates cultural change Facilitates identification of management and training issues Facilitates identification of management and training issues