Policing in the Department of Developmental Services A Review of the Organization and Operatmns 2000 2001 Commissioned by the Office ofthe California Attorney General Bill Lockyer Attorney General l\/larch 2002 Consultant Team Loren Law lt 1 EXECUTIVE SUMMARY The California Department of Justice (DOJ) commissioned a review of the Department of Development Services (DDS) Law Enforcement Division (LED) and its functions during the summer of 2000. independent law enforcement consultants, Loren DuChesne and Thomas Simms (Consultants) were selected to perfomw this review. A variety of management and operational review techniques were utilized including interviews, employee surveys, compilation and analysis of quantitative data, literature review, system and process evaluation, and surveys of stakeholder groups, This report presents the findings and recommendations of the review. Mission, Responsibilities and Performance The DDS has a statutory mandate to care for clients diagnosed as developmentally disabled and, therefore, provides a variety of care services for approximately 160,000 such clients. The majority (156,000) receives services from some tvventy-one community based regional centers throughout California. The most acute cases of developmentally disabled clients, some 4,000 individuals, however, are housed and cared for within seven State Development Centers (DCS) directly operated by the DDS. As part of this operation, the DDS maintains its own law enforcement personnel. Law Enforcement Division personnel, both uniformed peace officers and special investigators, are employed at the DCs to keep the peace, prevent crime, investigate offenses occurring on the grounds and protect clients, employees, visitors, and state property. ln the past two decades, their duties and responsibilities have evolved markedly, and now closely resemble the general law enforcement duties performed by municipal, county and university campus law enforcement. However, due to the clientele, LED personnel have a working environment much different from that of other law enforcement agencies and as such, require special training and skills to effectively perform their duties. During the course of this review, the Consultants found a profound lack of written policies and procedures within the LED. As a direct result, law 1 enforcement practices and performance objectives varied from one DC to another. Additionally, due to the absence of consistent performance data, performance measurements were unreliable and difficult to evaluate. Because the LED is not competitive with other law enforcement agencies, the recruitment and retention of well-qualified personnel are critical factors that affect its performance. The turnover rate within the division, most notably special investigators, is inordinately high, resulting in a constant drain of trained resources. Therefore, a concentrated effort must be made to curtail further attrition of trained personnel. Organizational Structure and Resource Allocation Due to the ever-increasing specialized protective services required by its clientele, the Consultants concluded there is no viable substitute for the Law Enforcement Division. Thus, the DDS should continue to maintain its own law enforcement professionals. However, the division, as presently structured, does not have a functional chain of command. lt also lacks unity of command, or one executive manager who has overall responsibility for the operation of the Law Enforcement Division. In addition, its operation is not supported by a sufficient number of adequately trained supervisory personnel and lacks consistent policies and strategies for appropriating and allocating human resources. Given these findings, the Consultants recommend that the LED develop and implement a new organization plan, a plan that addresses these issues and ail other critical elements required improving its efhciency and effectiveness. Operational Procedures There are numerous procedures found within the DDS that directly or indirectly impact the efficiency and/or effectiveness of the LED. The Consultants not only found significant differences in the way these procedures were handled, but that some of them had an adverse impact on the law enforcement operation. While LED personnel are receiving the required basic entry>>level training, the process of continuing been addressed. There is a definite need for a central training unit that will (1) design a program that offers courses and curriculumfrelevant to law enforcement 2 within the clinical environment; (2) determine number of training hours required each year; (3) have oversight responsibilities; and (4) manage a training budget. The roles, duties, and responsibilities of LED personnel are not clearly A defined; a factorthat often leads to conflict with clinical staff that has a detrimental affect on certain law enforcement processes. The process of reporting incidents requiring law enforcement attention varies. Standard and uniform procedures for communicating such incidents to the LED will eliminate inconsistencies and lead to timely responses by its personnel. The Consultants suggest the LED interact more frequently with outside law enforcement agencies and implement a policy of reporting designated incidents to these agencies. The Consultants also found the majority of LED personnel lack the training, experience and proper equipment to competently preser\/e and collect crime scene evidence. While there is a critical need to train personnel, there should also be pre-arranged agreements with outside agencies to take over the evidence processing upon request, Case management practices need to be improved by implementing such standard procedures as supervisory pre-assignment review, ongoing progress reviews and case-assignment priority assessment. Furthermore there must be policies and procedures for identifying and handling cases that have the potential for conflict of interest. People and Culture A questionnaire was distributed to each LED peace officer to survey their sentiments and perceptions regarding the work environment. The responses included comments about perceived issues that negatively impact job performance and hinder law enforcement operations. The Consultants subsequently interviewed a number of these oficers and were able to discuss their responses in greater detail. Systems, Equipment and Facilities The Consultants evaluated basic systems and resources including safety equipment that is commonly required for any successful law enforcement operation. Their findings included the following. 3 The existing radio communications systems are substandard and do not allow for direct communication with local law enforcement agencies or emergency units. The access to information from the California Law Enforcement Telecommunications System (CLETS) is inadequate. Some facilities have insufficient space and are inadequately equipped. The safety equipment is not standard and in some cases, not provided by the DC. At the present time, LED peace officers are not authorized to carry firearms, which limits their ability to adequately perform all required duties 4 SUMMARY OF RECCMIVIENDATIONS Chapter 3 - Mi on, Pers el, Res ibilities, nd Perf ance The Law Enforcement Division should pursue all available means to attract and recruit the highest qualified employees and to retain its trained incumbent personnel. The Law Enforcement Division should prepare a mission gr statement and define both its short-term (one-year) and long- term (three years) goals. The Law Enforcement Division should complete a policy and procedure manual. A system to measure performance, which provides timely and usable information in direct support of the LED organizational goals, should be developed and implemented. The number of Senior Special lnvestigators assigned to the developmental centers should be increased, their role and responsibilities should be expanded and the current openings should be filled. Chapter niz ruct re Res rc lloca W- The DDS should create an executive management position that is vested with the responsibility and authority to manage the Law Enforcement Division, and then recruit and hire a highly qualified and experienced law enforcement candidate as that executive. The Law Enforcement Division should develop and implement a new organization plan. As part of the reorganization, should immediately move to resolve intra-organizational conflicts in the Law Enforcement Division. 5 9. 10. The Law Enforcement Division should develop specific criteria for determining its human resource needs and allocating its personnel. The DDS should move swiftly and decisively to reorganize and change operational processes within the Law Enforcement DivisionThe Law Enforcement Division should institute a training program with relevant specialized courses so its personnel can increase job proficiency. The role and authority level of Law Enforcement Division personnel should be explicitly defined to eliminate conflicts and inconsistent practices throughout the DDS. The duties and responsibilities of uniformed peace officers should be clearly defined and standardized to maximize individual potential and productivity. The DDS should standardize the process of reporting incidents to the Law Enforcement Division. Policies and procedures should be established wherein local law enforcement agencies are immediately notified (as mandated in legislation enacted in 2001) about certain crimes and incidents occurring at DDS centers. The DDS should establish a joint agency committee within the jurisdiction of each DC to review all DDS death investigations. The DDS should develop and use standard criteria to determine which cases are referred to local prosecutors for review. Law Enforcement Division personnel should he trained and equipped with proper supplies and resources to adequately preserve and collect forensic crime scene evidence. Before cases are assigned to special investigators, they should be reviewed and prioritized based upon system wide standardized criteria. 6 20. The Law Enforcement Division should consider contracting with outside vendors to perform pre-hire background investigations. 21. Conflict of interest cases should be defined and identified by applying agency wide criteria, and assigned out for investigation. 22. The current practice of merging criminal and administrative investigations that involve the same circumstance and employee should be modified. 23. The DDS should develop and implement a formal FTO program for all newly hired Law Enforcement Division personnel. pter 7 - stems, Equipment, and Facilities ""__MmWw 24. The Law Enforcement Division radio communication systems should be upgraded and direct access to local law enforcement's systems should be acquired. The radio dispatcher positions should be POST certified public safety dispatchers. 25. The methods of accessing CLETS information should be improved and additional terminals should be installed in DC facilities. 26. The Law Enforcement Division should have a policy that standardizes safety equipment. 27. DDS should exercise their authority per the Penal Code, to provide firearms and authorize Law Enforcement Division peace officers to carry them while on duty. 28. The Law Enforcement Division should expand and improve all sub-standard facilities and co-locate uniformed officers and special investigators. 7 2 PROJECT BACKGROUND During the spring and summer months of 2000, a number of issues and questions were raised about the ability of the DDS's law enforcement personnel to protect the clients at the states seven developmental centers. Although these issues initially focused on allegations of specific incidents occurring at the Sonoma Center, largely promulgated by articles in the Sonoma~lndex Tribune, it was ultimately determined these issues called into question the adequacy of police and investigative activities at all developmental centers. Upon learning of this, State Senator Wesley Chesbro of the Second District and Chair, Senate Select Committee on Developmental Disabilities and Mental Health, and his staff, studied this matter and determined there were a number of areas and issues that needed review. Senator Chesbro, in his letter dated l\/lay 26, 2000, asked California Attorney General Bill Lockyer to examine these issues in a review and "make recommendations for improving the quality of police and investigative activities at the state developmental centers and for eliminating the likelihood of real or perceived conflicts of interest for state employees in conducting these activities." ln addition, on August 17, 2000, Dick Dickerson of the Second District wrote a follow up letter wherein he asked that Attorney General Lockyer expand the review of the issues and questions requested by Senator Chesbro to include additional areas he had identified. During July 2000, Loren DuChesne and Thomas Simms, independent law enforcement consultants, were retained by the California Attorney General's Ofnce to conduct the review of and make recommendations for improving the DDS law enforcement function, with a focus on examining the issues raised by both Senator Chesbro and Dickerson. ln September 2000, the Consultants met with the Project Coordinator, Martin Ryan, Chief ofthe California Bureau of Investigation (CBI) and certain DOJ legal staff, and obtained approval of the plan and scope of the impending review. The Consultants were given documentation that DDS had fon/varded to CBI and the review process commenced. On September 28, 2000, Mr. Ryan wrote Cliff Allenby, Director, Department of Developmental Services and informed him of the Consultants work assignment. He also asked l\/lr. Allenby to provide the 8 Consultants with additional documents from DDS files. During October 2000, the Consultants received the documentation and upon its review, began field visits to DDS sites. Scope and Focus of Review The purpose of this project was the organizational review of the LED and the study of DDS components that impact its responsibilities, functions and effectiveness. Although its scope included an in-depth assessment of the current operations and activities that traditionally affect the efficiency and effectiveness of an organization, the investigation of specific cases or complaints was outside the pun/iew of this project. The Consultants developed an organizational review plan that focused on the following general areas: Qualifications and training of DDS uniformed peace officers and special investigators; Investigative procedures; Client protection; incident reporting requirements and responsibilities; Crime reporting and prosecution; Relationships with outside law enforcement agencies and stakeholders; issues of perceived or actual conflicts of interest; Management practices in relation to the LED policies, procedures and effectiveness; and 0 Organizational structure. 9 Methodology The Consultants recognized that the issues and questions raised the media and the legislators extended beyond the Sonoma Center. The Consultants also determined it was vital they sample processes and procedures on a statewide basis in order to gain a comprehensive understanding of policies, procedures, and practices from a macro- organizational prospective. Because DDS is a large complex organization consisting of a headquarters in Sacramento and seven developmental centers spanning the State of California, the Consultants decided it was imperative to visit and survey the largest centers (a total of five) and relevant sections located at the DDS headquarters. Personnel from each locale were interviewed and documents from each respective center were collected and reviewed. In addition to DDS personnel, it was deemed equally important to sur\/ey stakeholders with close operational relationships to DDS and its services. The stakeholders included: Client rights advocate organizations; California Union of Safety Employees State licensing and certification evaluators; District Attorney representatives, DOJ personnel, and outside legal experts; 0 Coroner office representatives; Local law enforcement agencies with jurisdiction adjacent to DDS centers; and l\/ledia representatives. During the course ofthe project, the Consultants completed the following tasks: interviewed more than 75 individuals and studied relevant documents from DDS and stakeholder organizations in six geographic locations across the state. 10 Collected and reviewed over 4,000 pages of documents including policies, procedures, directives, plans, organization charts, employee classifications, training records, personnel procedures, audit reports, stakeholder reports, reporting forms, statistics, newspaper articles, correspondences, and legal statutes. Developed a sun/ey questionnaire, which was completed and returned by 71% (61 of 86) of the LED peace officer staff; Analyzed workload statistics; Analyzed information systems and communication systems; Analyzed staffing procedures, staffing allocations, and processes for directing staff; Reviewed training levels in relation to workload demands; Reviewed facilities and equipment status; Analyzed workflow processes, reporting processes, accountabilities, performance measurement, and relevant organizational relationships; Reviewed California Commission on Peace Officer Standards and Training (PDST) regulations and prior training audit reports. l\/let with POST consultants; Studied two prior reports issued by Protection and Advocacy lnc., which criticized investigations at two separate centers; Reviewed Advisory Report to the Legislature on the Feasibility of a Department of Public Safety; Prepared interim conclusions and findings and briefed DDS principals and Senator Chesbro; and Prepared the tinal report. 11 3 MISSION PERSONNEL RESPONSIBILITIES AND PERFORMANCE This chapter discusses the Law Enforcement Division, its history and evolution within DDS, its mission, its statutory authority; descriptions of law enforcement positions and functions; its role within the its duties and responsibilities, its performance measurements, and how it recruits and retains its personnel. As a matter of background, a brief history ofthe DDS, as well as its overall mission statement is presented. Historical Overview Department of Developmental Services The Department of Developmental Services directly operates seven developmental centers throughout the State of California. They are as follows: The State of California has been involved in providing services for the developmentally disabled since 1885, beginning with the establishment of the Agnews Insane Asylum, now more appropriately named the Agnews Developmental Center. ln 1891, the Sonoma Center was established, followed by the Lanterman, Porterville and Fairview centers, with Fairview being the newest of these centers, opened some 50 plus years ago. In recent years, Canyon Springs and Sierra Vista, two specialized and smaller centers, were established. 12 Since the 1972 Lanterman Developmental Disabilities Services Act became law, any client diagnosed as mentally ill, was moved to another type of state operated facility, leaving the DDS to exclusively treat clients with defined developmental disabilities. A "developmental disability" is a condition, which originates before an individual attains age 18; continues, or can be expected to continue indefinitely; and constitutes a substantial handicap. Developmental disabilities include mental retardation, epilepsy, cerebral palsy, autism, and disabling conditions closely related to mental retardation or requiring treatment similar to that required by people with mental retardation. 1 The California Department of Developmental Services provides a variety of care sen/ices for approximately 160,000 developmentally disabled clients, has a budget of $2.6 billion and employs more than 7,000 persons. Approximately 4,000 ofthe 160,000 clients are residents in one of the seven developmental centers. The seven DCs care forthe most acute cases of developmentally disabled clients, some with serious behavioral, medical, and mental retardation issues and some with multiple forms of these disabilities. The other clients, some 156,000, are served by twenty- one community based, non-profit "regional centers". The DDS is responsible for administering the earlier mentioned Lanterman Developmental Disabilities Services Act and another law entitled as the Early lnten/ention Services Act. Both laws ensure the coordination and provision of services and support that enable persons with developmental disabilities to lead more independent, productive and normal lives and ensure the delivery of appropriate services to infants and toddlers at risk for having developmental disabilities and their families. 2 Approximately 65%, or 2,600, of the 4,000 clients residing at the developmental centers were placed there by a court commitment and will remain there as long as they continue to fit their commitment profile. A court, as required by statute, periodically reviews their status. A small number of these clients, referred to as "forsenics", were allegedly involved in serious or violent crimes. "Forensic" clients, are usually higher functioning, have serious behavioral issues, and are sent to the Porterville Center, the most secure of the seven centers. 1 Department of Developmental Services, Fact Book, Third Edition, Preface Page. 2 lsio. 13 DDS Mission The DDS has outlined its mission, its goals and strategies in its 2001 2006 Strategic Plan. This plan contains the following overall mission statement for the organization. The Department of Developmental Services provides leadership and direction to ensure that individuals with developmental disabilities have the opportunity to make choices about their own lives, receive needed services and supports, are safe and healthy and have a high quality of life.3 Additionally, each of the seven DCs has augmented this statement by developing a separate mission or vision statement, which addresses the quality of care issues affecting its respective clients. DDS Law Enforcement Beginning with the advent of California's mental health centers in the late 1800's, there was some form of protective or police services included in the system. Initially, there was no full time law enforcement personnel at any facility. Early legal statutes, however, gave peace officer authority to the hospital administrator and enabled that individual to appoint part~time peace officers from the ranks of hospital employees, but with no extra compensation. In those days, such part-time peace officer duties were most likely relegated to actions of searching tor and retrieving escaped patients, security of the grounds, and occasionally quelling disturbances at the facility. Statutory Authorities Over the years, a number of statutes were enacted that provided the basis for the evolution of the DDS police services up to the current times. These statutes and how they have affected the police service functions are as follows: Department of Developmental Services, Strategic Plan, 2000-2005, page 14 Welfare institution Code 4491 The hospital administrator shall be responsible for preserving the peace in the hospital buildings and grounds and may arrest or cause the arrest and appearance before the nearest magistrate for examination, of all persons who attempt to commit or have committed a public offense thereon. 0 This statute is the foundation forthe current law enforcement structure and the command and control functions at the developmental centers. The DDS has deemed the peace officer authority addressed in W&l 4491 rests with the present day Administrative Services Director (ASD) position, therefore, DC law enforcement personnel report to the ASDS. The Canyon Springs and Sierra Vista Developmental Centers are, however, the exceptions. The law enforcement personnel at these centers report to the Business Manager, an employee who acts as the combined Administrative Sen/ice Director and Executive Director. However, like the Administrative Services Director position, DDS has determined that peace officer authority also rests with the Business Manager position. Although both the Administrative Services Director and Business Manager positions are deemed vested with peace officer authority, the DDS has not followed the training and selection requirements mandated by state law and POST. For example, the individuals presently in these positions have not been subject to background investigations, medical and examinations, and appropriate peace officer training. Welfare institution Code 4493 The hospital administrator of each state hospital may designate, in writing, as a police officer, one or more of the bona ride employees of the hospital. The hospital administrator and each such police officer have the powers and authority conferred bylaw upon peace officers listed in Section 830.38 of the Penal Code. Such po/ice ofricers shall receive no compensation as such and the additional duties arising therefrom shall become a part of the duties of their regular positions. When and as directed by the hospital administrator, such po/ice ofHcers shall enforce 15 the rules and regulations of the hospital, preserve peace and order on the premises thereof and protect and preserve the property of the state. This statute gave the hospital administrator authority to appoint hospital employees as peace officers. As previously noted, there was no compensation forthese extra duties, nor was law enforcement training provided. California Penal Code 830.38 The offcers of a state hospital under jurisdiction of the State Department of Mental Health or the State Department of Developmental Services appointed pursuant to Section 4313 or 4493 of the Welfare and Institutions Code, are peace officers whose authority extends to any place in the state for the purpose of performing their primary duty or when making an arrest pursuant to PC836 as to any public offense with respect to which there is immediate danger to person or property, or the escape of the perpetuator of that offense, or pursuant to Section 8597 or 8598 of the Government Code provided that the primary duty of the peace oflfcers shall be the enforcement of /aw as set forth in Sections 4311, 4313, 4491, and 4493 of the We/fare and Institutions Code. Those peace ofHcers may carry Hrearms only if authorized and under terms and conditions specihed by their employing agency Provides statutory authority for regular DDS peace officers. California Penal Code 830.3 The following persons are peace oflicers whose authority extends to any place in the state for the purpose of performing their primary duty or when making an arrest pursuant to Section 836 of the Pena/ Code as to any pub/ic offense with respect to which there is immediate danger to person or property, or of the escape of the perpetrator of that offense, or pursuant to Section 8597 or 8598 of the Government Code. These peace ofhcers may carry Hrearms only if authorized and under the terms and conditions specihed by their employing agencies.. All investigators ofthe State Departments of Health Services, Social Services, Mental Health, Developmental Service, and Alcohol and Drug Programs, the Department of Toxic Substance Control, the Oflice of Statewide Health Planning and Development, and the Public Employees' Retirement System, provided that the primary duty of these peace oflicers shall be the enforcement of the laws relating to the duties of his or her department or 16 ofrfce. Not withstanding any other provision of /aw, investigators of the Pub/ic Employees' Retirement system snail not carry Hrearms. Provides statutory authority for DDS special investigators. Finding 1 The LED has evolved from a part time function to a specific law specialized training and expertise enforcement function requiring general law enforcement duties and CURRENT DDS LAW ENFORCEMENT POSITIONS Peace Officer ll Developmental Center The peace officer positions and the corresponding responsibilities and duties have been refined and enhanced to closely resemble those of a municipal police officer, a deputy sheriff, or a university campus police officer employed in today's law enforcement community. Early on, they were called Hospital Peace Officers and functioned much like hospital security officers. A minimum of 40 hours of entry level training was required, followed by little or no in-service continuing professional training. ln 1994, the Hospital Peace Officer position was upgraded to the current Peace Officerl ll series, with a revised and enhanced job description providing for the performance of general law enforcement duties onthe DC's grounds. ln 1996, the Peace Officer ll positions were certified under POST regulations. Therefore, each new peace officer is required to have a Basic Training Certificate (a minimum of 18 weeks training) and successfully attain a POST Basic Certificate after one year of successful probationary sen/ice. A minimum of 24 hours of continued professional training every two years is also mandated by POST. Those employed priorto 1996 were "grand fathered" into the POST program, and now constitute a decreasing minority. 17 The two levels of police officers are as follows: Peace Officer Egry and journeyman level uniformed police officer assigned to a First responder and reporter of law enforcement incidents within DDS jurisdictions. - Reports to Peace Officer ll. Peace Officer ll First level supervisor of uniformed police officers. 0 Serves as "Chief of Peace Officers" and reports directly to the DC's Administrative Services Director or Business l\/lanager. (The Department of Personnel Administration specifications for Peace Officer ll make no reference to the term "Chief of Peace lt is further noted that in the Porterville DC, the Peace Officer ll's reflect the rank of Sergeant. Special Investigator Classification Series ln 1995, the Special investigator classification series was established. ln 1996, the investigator classification became POST certified i.e. investigators must either possess a POST Basic Training Certificate, or attain a POST Specialized Investigator Training Certificate (16 weeks of training) within the first year of employment. The four levels of investigators are as follows: Special Investigator I Entry-level position. Journeyman investigator working cases as assigned. l\/lay report to a Supervising Special investigator I or an Administrative Services Director subject to assignment location. 18 I enior Special investigator Experienced investigator responsible for conducting the most difficult and complex investigations. Acts as lead investigator, providing guidance to others. Non-supen/isory position. May report to a Supen/ising Special Investigator or an Administrative Sen/ices Director subject to assignment location. upervising Special investigator I First level supervisor for Special investigator and Senior Special Investigator positions. Two positions statewide. Reports to a Supervising Special Investigator ll located at the Headquarters Special investigation Section. upervising Special investigator Il "Chief lnvestigatori Manages and supervises investigators assigned to the Headquarters Special investigation Section. Reports to Manager, Administration Division, 19 Responsibilities and Organization Overview Special Investigator Classification Due to a reorganization in April 2000, that decentralized the command and control functions forthe Special Investigators classification, special investigators are assigned to either (1) one of five developmental centers or, (2) Headquarters Special Investigation Section. The responsibilities and chain of command tor these two areas differ and are as follows: Special investigator or Senior Special Investigator - Developmental Centers Reports to the centers Administrative Services Director who manages case assignments, workload priorities, and case strategy decisions. Responsible for criminal and administrative investigations assigned by the respective Administrative Services Director. Special investigator or Senior Special Investigator - Headquarters Special Investigation Section Reports to Supervising Special investigator l, who is a direct report to a Supervising Special investigator ll. Designated duties and responsibilities include: Quality assurance, which includes after the fact inspection of written reports and review of investigator work product; Training, including POST liaison, training record maintenance for peace officer personnel and indoctrination training for new hire special investigators; Technical assistance that provides, on a case by case basis, expertise and/or additional manpower to the developmental centers; 20 Recruiting new hires, maintaining eligibility hire list for all investigator classes, and conducting POST mandated pre- hire background investigations; Development of and authoring policies and procedures applicable to LED functions and personnel; and producing written manuals containing these established policies and procedures; and Special assignments in developmental centers to supervise or assist with sensitive or potential conflict of interest cases. Finding 2 decentralize the command and control of special investigators assigned to the DCs The Consultants find merit, as an interim step, in the concept to During April 2000, a decision was made to decentralize the command and control of special investigators assigned to the DCs, and to assign functional supervision of these investigators to the centers' respective Administrative Services Director. This decision sparked concern by client rights advocates and other stakeholders, who worried that the decentralization and shift of the special investigation management authority from headquarters to local DC authority would result in a conflict of interest at the DC management level. Some client advocates opined that there would be unwillingness by Executive Directors and Administrative Services Directors to aggressively pursue abuse cases, arguing that sustaining complaints against staff would result in adverse action against the DCs under the Department of Health Sen/ices Licensing and Certification Program. As one advocate told the Consultants, "lt not what they investigate that worries me, its what they don't that is the concern." The Consultants tind that the changes implemented in April 2000 were an appropriate interim step given the only other alternative i.e. leaving the existing structure in place. As a result of shifting the investigators' daily assignments and responsibilities to management personnel within the investigators' work unit, the daily operating decisions, adjustment to caseloads, and response to changing facts, is addressed in a more timely and efficient manner. 21 The Consultants also find there is an immediate need for more comprehensive organization changes and managerial reforms. These topics are covered in Chapter 4 of this report. DDS Law Enforcement Mission Finding 3 The Law Enforcement Division does not have a written mission statement The LED functions within the overall structure ot a vast decentralized social services agency. lt is currently struggling to understand its role, authority level, responsibilities and mission within the larger context of the DDS. lt appears the division is often perceived as a "step child", not to be embraced but to be tolerated. This perception is unhealthy and stymies the morale and the professional growth of its employees. It also results in a profound weakness in this segment of the organization. As noted in Chapter 3, the DDS has a Strategic Plan that outlines its mission, goals and strategies, which has been augmented by a separate mission or vision statements by the DCs. The LED, however, has never prepared a written mission or vision statement and as a direct resultclear established understanding of its full purpose and direction. Law Enforcement Division Mission Statement The Consultants conclude it would be a beneficial process for the Law Enforcement Division to outline its mission in a written statement. This exercise should result in a well-defined understanding of purpose and direction and how the division should operate within the DDS system and structure. This statement should also address the needs and requirements of its customer base, which includes the clinical staff, the clients, the family members, and the visitors to the campuses. Such a statement would be a productive initial step in attenuating many ofthe conflicts and frustrations expressed by LED personnel and clinical staff alike. 22 A mission statement could include the following: The mission of the Department of Developmental Service Law Enforcement Division is to use resources of the Department of Developmental Services, and al/ available outside /aw enforcement assistance to protect the life and property of clients, employees and visitors at all DDS facilities. LED personnel wil/ strive to enhance the quality of life, safety, and self-esteem of clients while protecting the property and financial interests of the State of California. /ts staff will seek to serve the public interest in an eflicient and professional manner. Goals After establishing its mission, the LED should define its short-term (within one year) goals, and its long-term (within three years) goals. While defining goals beyond one year may seem ambitious, the process should be helpful in determining baselines for measuring performance. Given that organizations need established goals, and that goal setting is an essential component of organizational management, the ongoing process of setting goals will ultimately provide the direction and basis for future changes within the LED, Performance Measurement Measuring the effectiveness of a public law enforcement unit or division is an inexact science. Because the LED personnel police and investigate incidents within the confines of restricted public clinical treatment facilities, measuring effectiveness is even more challenging. ln general terms, LED responsibilities include the following: Enhancing the safety and quality of life for its clients; Protecting the state's property and interests; Protecting the life and property of the DCs employees and visitors; and 23 Reporting incidents of crime and other incidents, and following up on reports of crime and/or abusive conduct by staff and members of the public. Finding 4 one DC to another a factor that contributes to vague and Inconsistent performance objectives The duties and responsibilities of uniformed peace officers vary from Uniformed peace officers are the equivalent of city or university campus patrol officers. They patrol the DC campuses, monitor vehicular and pedestrian traffic, and respond to calls for service inside and outside the residential units. While on patrol, they observe the activities of employees, visitors, and residents, and in doing so, suppress crime. They are the first responders and the report takers for all reported incidents. Typically, LED uniformed peace officers perform the following duties: Investigate minor traffic accidents and call the CHP to handle serious or injury accidents; investigate thefts, disturbances, suspicious persons and trespassing; Respond to medical assistance and missing client reports; Stop cars containing suspicious persons or persons suspected of driving under the influence; and those fleeing from a crime on or adjacent to a DC campus; Serve legal documents and enforce restraining orders on the DC grounds; Detain and arrest suspected offenders for committing crimes on DC grounds, then transport subjects to external custodial facilities; and Respond in a capable and prepared manner, like their counter-parts in municipal law enforcement agencies, to hazardous and/or emergency events. 24 While developmental centers are residential communities for a protected class of clients, in many aspects, the peace officers face many of the same challenges found in local communities. This is clearly confirmed by the following: Several centers have retail stores and credit unions on the grounds. At one location, armed suspects reportedly have robbed the credit union on two occasions. At the Fairview campus, a disgruntled employee went on a shooting rampage and killed one employee and wounded another. The Sonoma DC has a busy county highway, with heavy traffic, running through it. Both the Lanterman and Porterville DCs have California Conservation Camps on the property. During the review, the Consultants determined that peace officers generally understand their duties and responsibilities. However, because the Law Enforcement Division does not have a complete manual that clearly defines its policies, procedures and practices, there are system wide operational inconsistencies that obscure and hinder performance objectives. Additionally, performance expectations and standards are not uniform throughout the system, but are detemwined by local DC management; and performance statisticai data is not collected, consolidated and analyzed on a system wide basis, therefore, performance measurement, especially comparative evaluation, is virtually impossible. Finding 5 The ability to adequately monitor and track the performance effectiveness and efficiency of special investigators is not possible given the lack of standardized statistical indicators and measurements Measuring the performance and effectiveness of investigators involves many of the same issues and limitations discussed in the prior section, Uniformed Peace Gfficer Performance. Because investigators are fairly autonomous and are involved in few work activities that are recorded and measured, their performance is often more difficult to measure and evaluate. The Consultants found it was not possible to measure and track the performance of the special investigators, given the insufficiency of the only available performance-measuring tool that exists throughout the system, 25 the caseload report. As detailed below, this report is deficient in both its content and format. The report format varies from DC to DC, and no one format contains a sufficient amount of information that can be used to effectively measure performance orto make management decisions; The reports documented numerous cases that were dated, but did not provide sufficient information about status and progress; Current tracking methods did not provide sufficient information on the progress of investigations nor include a plan or strategy for completing cases; Cases were transferred from one investigator to another, only to be active on paper without any record of recent progress; 0 There was no department wide system that prioritized cases at time of assignment; and There was insufficient supervisory review of case progress and investigation strategies. Finding 6 ln addition to the general public and relatives of the clients various the nature of their profession or mission have unique perspectives about the performance of the Law Enforcement Division individuals and groups are significant stakeholders and based upon ln an effort to gain additional information and to broaden their perspective regarding this area, the Consultants interviewed a number of stakeholders, including state licensing and certification evaluators, representatives of client rights organizations, local law enforcement organizations, district attorney representatives, and county coroner officials. 26 The opinions obtained from these stakeholders are as follows: Client Rights Advocates ln general, this group gave satisfactory marks on protection of clients and follow up work by investigators. Their primary interests continue to be sustaining the level of reported abuse cases and the timeliness of investigating these cases. Most advocates voiced concerns about the potential for conflict of interest due to the current organization structure and the lack of investigator autonomy to reach independent conclusions. Some commented that a lack of communication and feedback from staff was a problem. A representative from Protection Advocacy, lnc., which has published two investigative reports that were critical of the DDS, expressed concerns about the capabilities of peace officers to perform at an effective level. State Licensing and Certification Evaluators These representatives were concerned about the diligence of clinical staff to report incidents of suspected abuse. Once reported, the inherent lack of independence by the investigators, who report to the DCS management staff, troubled these evaluators. No specific cases were cited that would give rise to concern that incident reporting is intentionally compromised. District Attorney Representatives Based upon the cases they see and process, this group generally gave satisfactory marks to the LED. ln some jurisdictions, there are far fewer cases and less contact than in others. County Coroner Representatives The coroner representatives were generally satisfied with the death reporting process and apparent cooperation between their agencies. In Tulare County, several reporting and processing issues are currently being addressed. 27 Local Law Enforcement Agencies This group has had little regular business contact with the DDS. This contact will increase since W&l 4427.5 requires that deaths of residents and serious injuries be reported to the local law enforcement agency. Finding 7 Based upon the current level of staffing in the Law Enforcement Division, the recruitment and retention of well-qualified personnel is a critical issue that effects the division performance On an overall basis, the Law Enforcement Division is generally not competitive with other uniformed law enforcement agencies in the areas of salary, benefits, and working conditions. As a result, recruiting and retaining highly qualified trained employees is a difficult undertaking. The DDS is a unique and specialized agency with a working environment and client profile that presents many challenges for law enforcement personnel. lt is therefore very important to attract the right kind of employee, and when trained, make every effort to retain them. During this review, which included numerous inten/iews with incumbent personnel, the Consultants identified various areas that should be considered as the division works to improve the recruitment process and employee retention. These include: Develop a program to attract a high caliber of POST Basic Academy graduates; Offer additional incentives and improve current working conditions in order to retain recently hired personnel, many who are dissatisfied and considering other employment opportunities; institute a structure that provides career advancement and workplace mobility, including one where existing peace officers and investigators can apply for a position and transfer to another center; and Recruit future peace officers from the existing non-peace officer employee base, i.e. some 7,000 persons. implement procedures to identify employees with exemplary work histories who have expressed the desire to become peace Z8 officers, support them financially during their POST basic training academy and require a work commitment from them tor a prescribed period of time upon academy graduation. Finding 8 The turnover rate for investigators is excessive and unacceptable. The LED has gravitated into a training ground for other state law enforcement agencies. The result is a drain on trained resources and a continuous process of recruitment and training. During a recent 36-month period, the turnover rate for special investigators approximated 100%. A total of 24 left the division and 13 ot the 24 transferred to other state operated agencies. Given this, the majority of investigators on staff are inexperienced and most will likely leave before becoming experienced journeyman investigators. Our review revealed there are vacant Senior Special investigator positions, but that local DC management has yet to fill them. For the more experienced and competent investigators, these positions are promotion opportunities and thus incentives to remain with the DDS. 29 Mission, Personnel, Responsibilities, and Performance Recommendations Recommendation 1 The taw Enforcement Bwision shouid pursue ali available means to attractiand recruit the highest quaiified empicyees and to retain its trained incumbent personnel. `E