I i DEPARTMENT OF DEVELOPMENTAL SERVICES "l OFFICE OF PROTECTIVE SERVICES 7.1 Reporting to Outside Law Enforcement Agencies ISSUE DATE: June 2012 11 /s Approved rilb Ei i PA FLANNERY COREY SMI I Deputy nirmm Developmental Center: Divigm Ofnca of Protective l. GENERAL Pursuant to the Welfare and Institutions (VV I) Code Section 4427,5, the Office of Protective Sen/ioes (OPS) shall report all serious injuries of unknown origin and all deaths to the designated local law enforcement agencies that have jurisdiction where each Developmental Center or Community Facility is located within two hours of OPS being notified ofa reportable incident, incidents that will be reported include: All Client deaths; whether expected or unexpected, All suspected or actual, t? Any assault a deadly weapun, Serious injuries oi an unknown origin, including A Internal bleeding or organ damage, Llnoonsciousness where resuscitation efforts are not effective, C, Laoerations requiring five or more sutures D, injuries which involve loss or partial loss cf body parts, E, Injuries which involve one>>fourth or more ofthe body, F, Any fracture, Injury to the genitals I-I. Any type of sexual assault alIeged_to_ have occurred at or wirmn the jurasdaurm D1 me re g, during community outings, etc.); and I Any abuse to a Client where the suspect is known and which may be classined as a possible felony violation of Penal Code section 358 Dependent Adult/Elder Abuse To comply with I Code section 4427 5, the Commander is required to establish and maintain a Memorandum of Understanding (MOU) with his/her local law enforcement agency, The will include procedures for Immediate notification to the local law enforcement agency and include methods oi providing preliminary reports of investigations to the appropriate agency representative The responding Ofricer is responsible for notifying local law enforcement per the attached Operational Procedure. Page 1 ot 2 i California Health and Human Services Agency Policy Numben . . A i Department of Developmental Services issue Date: 0*/0 i 2 Office of Protective Services Subject: Reporting to Outside Law . Enforcement ueencies The Ofnce of Protective Services will maintain a log and document each incident that is reported to local law enforcement. The log will include the date, time, OPS case number, name of the person making the notification; and a column to indicate whether the local law enforcement agency will be investigating the case. Refer to Policy 9.2, Peace Officer First Responder Duties, for definitions of serious/serious reportable injuries and for procedures regarding preliminary investigations. Refer to 7.1A "Operational Procedure: Memorandum of Understanding (MOU) Reporting" for reporting procedures specific to each facility. ll. MOU REVIEW AND APPROVAL - The Commander and Chief, OPS, will coordinate the MOU with the appropriate local law enforcement agency. The Executive Director (ED) and Chief, OPS, will review and approve the MOU prior to implementation. -The Commander will distribute final copies of the approved MOU to the local law enforcement agency, ED or Facility Director (FD), and the Chief, OPS. 'i'he Commander will review the MOU as needed to determine if changes become necessary. - OPS Field Offices will report to the following designated local law enforcement agencies: Canyon Springs Community Facility.. . Cathedral City Police Dept. Fairview Developmental Center . .. Costa Mesa Police Dept. Lanterman Developmental Center Pomona Police Dept. Portewille Developmental Center Portewille Police Dept. Sonoma Developmental Center - Sonoma County Sheriffs Dept. References: Welfare and Institutions Code 4427.5 Memorandum of Executive Directors Re: Interim Policy and Procedures for implementation of W&l 4427.5 Code Section, dated January 7, 2002 DCD Policy 129 Reporting and Notification of incldentsl'Unusual Occurrences 9.2 Peace Officer~First Responder Duties 9.4 OPS Response to Deaths Page 2 of 2 LAW ENFORCEMENT FIRE SERVICES MANUAL . California Health and Human Services Agency Operational Procedttre to Policy 1.1 Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Memorandum of Understanding Reporting REPORTS TO LOCAL I..AW ENFORCEMENT AGENCIES OPERATIONAL PROCEDURE: MEMORANDUM OF UNDERSTANDING (MOU) REPORTING The purpose of this Operational Procedure is to provide direction to Oftice of Protective Services (OPS) and Watch CommanderslSergeants of the Developmental Center and the Canyon Springs Community Facility when incidents occur which meet the criteria for reporting to the local jurisdictional agency pursuant to the Welfare - and Institute Code Section . This mandate is reinforced in the MOU between the {Sheriffs Department and OPS, which has been revised and signed on 2012. I. The following incidents shall be reported by the responding Officer to the PolicelSheriff's Department, immediatejv or as soon as is reasonably possible in the event the Ofticer's duties require hislher fuIl attention; an active crime scene. ln no instance shall the Oflicer allow the verballtelephonic notification to exceed two (2) hours beyond the time of the incident or of knowledge of the incident. Thenotitication described herein shall be carried out by the Oflicer, unless helshe is unexpectedly delayed at the scene or called to another emergency, in which case the notification will be made by the Watch CommanderlSergeant within two (2) hours of the incident or - within two (2) hours of `knowtedge of the incident: A. All Client deaths; whether expected or unexpected, B. All suspected or-actual, C. Any assault with a deadly weapon, D. Serious injuries of an unknown origin; including: 1. lntemal bleeding or organ damage, . 2. Unconsciousness where resuscitation efforts are not effective, 3. Lacerations requiring five or more sutures, 4. Injuries which involve loss or partial loss of body parts, -5. Injuries which involve one-fourth or more of the body, 6. Any fracture, 7. Injury to the genitals Page 1 of 2 i Califcmia Health and Human Services Agency Operational Procedure to Policy 7.1 Department of Developmental Services issue Date: April 10, 2012 Office of Protective Services Memorandum of Understanding Reporting i 8. Any type of sexual assault all occurred at or within the jurisdiction of the P0licelSheriff during community outings, etc.), and 9. Any abuse to a Client where the suspect is known and which may be classified as a possible felony violation of Penal Code section 368 -- Dependent AdultlElder Abuse. . ll. incidents which meet the above criteria shall be reported to the I PoIiceIShe De artment's Watch Commander, by telephone at A. The OPS Officer or Watch CommanderlSergeant will share enou details regarding the type(s) of incident(s)so that the EPD t?D Watch Commander may detemilne whether the agency will send an officer(s) to respond to for . further follow-up orto conduct an independent investigation. B. The OPS Ofhcer or Watch C0mmanderlSergeant who made the notification will make a log entry in the Notification Log," documenting: 1. Date and time verbal notification was made to Name ofthe Watch Commander who was given the notification, 3; Report number and incident type related to the notification, 4. Date and time faxed report(s) were sent to C. The OPS Watch Commander/Sergeant will ensure that a copy ofthe OPS Police Report (DS 213) andlor the OPS Death Report (DS 00 is ed as soon as possible, at Dispatch Fax number 1. The OPS Watch CommanderISergeant will attach the fax transmittal confirmation page to the Notmcation Log so that a record is maintained for auditing purposes. - D. lf the incident concems an AWOL, the OPS Watch Commander/Sergeant will contact the Watch Commander to obtain an e-mail address where the OPS Watch CommanderISergeant shall electronically send a copy of the appropriate Client Profile. . References . Welfare and Institutions Code sections 4427.5 Page 2 of 2 . DEPARTMENT OF DEVELOPMENTAL SERVICES - OFFICE OF PROTECTIVE SERVICES A ii SSIF 7.9 District Attorney Referrals ISSUE DATE: June 2012 . . Approved: . ?/Ui.l/iz pproved: PATRICIA FLANNERY OREY Deputy Director Chief Developmental Centers Division Office of Protective Services . - This supersedes the policy issued November 2010 I. POLICY I The Department of Developmental Services (Department!DDS) takes seriously its responsibility to uphold the law and protect all who live, work, and visit a developmental center or community facility (DCICF). Furthermore, the Department takes seriously the significant impact that can be experienced by clients, employees, the Department itself, and all others associated with or involved in an Office of Protective Services (OPS) investigation, upon the referral of a completed investigative report to a District Attomey (DA) for possible criminal prosecution. To fulfill these responsibilities to the highest standards, it is expectation that OPS shall work with the Departments Office of Legal Affairs (OLA), the Developmental Centers Division (DCD), and others in the Department as necessary to ensure reports referred to a DA are legally sound and as clear and complete as possible. The -purpose of this policy is to establish procedures to be followed for the referral of investigations to a DA. This policy does not apply to arrests made by private persons, pursuant to Penal Code Section 837. . Il. PROCEDURES I A. When there exists probable cause to believe a crime has been committed, the assigned investigator will prepare a written report with a recommendation for referral to the local DA's office for review. At any point during the report process where the investigator feels the case will be substantiated, this shall be communicated to hislher supervisor, who will then elevate this to the Commander. The Commander will then notify the Chief of OPS. As detailed in OPS Policy 9.14, Criminal and Administrative Admonishments, all persons have the right to be free from self-incrimination in a criminal matter. DDS employees, however, can be compelled to cooperate with OPS in an administrative investigation and must answer questions directly related to the employee's official conduct. To protect the iight against self- incrimination, administratively compelled statements must be excluded from the . .. Di . for criminal In cases where a simultaneous criminal investigation is Page 1 of 3 . Califomia Health and Human Services Agency Policy Number: 7.9 - Department of Developmental Services issue Date: 06/01/2012 . Oflice of Protective Services Subject: District Attomey Referrals being conducted, administratively compelled statements shall not be included or . considered in the crimin investigation. ln some cases, the investigator may review the case with a representative of the local DA's ofhce prior to completion of the case and in those situations, administratively compelled statements must also be protected from release. B. The assigned investigator shall forward the written investigation report to his/her Supervising Special lnvesti ator (SSI) or designee for review and approval prior to referral to the local DA's office.- The approved investigative report is then forwarded to respective facility Commander. C. der, following_ his/her review and approval and prior to submission .e DA's office, shall forward a copy of the completed investigation to of OP . D. recommendation for referral to. I 's ofti invo cre - suspect, the referral will be sent tot Chief and (ED) prior to submission to the DA's ce. Following the Chiefs review and meeting with the Division (DCD) will be schedule . The ED and the Commander will participate in this meeting to discuss the report findings to determine whether the referral is sent to the DA's office or a referral for administrative/clinical action is needed. E. The Director of DDS and the shall be consulted ag . necessary and infonned by the DC pu irectorof the decision of the group related to DA referral. F. The assigned investigator is the Departments liaison with the DA's oflice for any_ case referrals and shall maintain regular contact with the DA regardingthe tiling of criminal charges, trial dates, the status of the case, final disposition, etc. G. Throughout the above process, the assigned investigator is to communicate all information obtained on the status of the case to his/her immediate supervisor, who will inform the Commander. The Commander will notify the Chief of OPS. ASSISTING THE PROSECUTOR A. Investigators shall provide all necessary assistance to a prosecuting authority in . accordance with approval from the Commander. . . IV. A. The Commander or his/her designee shall ensure that all investigative reports meet legal guidelines and OPS quality standards for accuracy, completeness and timeliness as well as meeting the tiling guidelines for the District Attomeys' . oflices within each jurisdiction. Page 2 of 3 Califomia Health and Human Services Agency Policy Number: 7.9 I Department of Developmental Services Issue Date: 06/01/2012 Ofhce of Protective Services Subject District Attomey Referrals B. Each facility OPS office shall keep a tracking logltool of all investigations, including cases referred for prosecution to the DA's ofiice, documenting the Hnal disposition of the case. References: Penal Code 837 Penal Code 142(c) - 9.14 Criminal and Administrative Admonishments I Page 3 of 3 I DEPARTMENT OF DEVELOPMENTAL SERVICES OFFICE OF PROTECTIVE SERVICES - . PCISC 9.2 Peace Officer -- First Responder Duties ISSUE DATE: June 2012 . PATRICIA M. FLANNERY COREYS ITH Deputy Director Chlef Develo mental Centers Division Office of Protective Services This policy supersedes the policy dated May 2008 l. GENERAL lt is the policy of the Office of Protective Services (OPS) to have pe-ace officers, . hereafter referred to as "OfHcers", immediately respond to all criminal incidents and other matters so as to ensure the safety and weIl--being of clients and others who live, work and visit their Developmental Centers and Community Facility (DCICF). Due to the nature and severity of possible criminal allegations, these incidents will be the first priority of the OfIicer(s). li. OFFICER OPS Ofhcers will respond to all serious reportable incidents, allegations of abuse, neglect or sexual assault, whether criminal or administrative in nature. All serious reportable incidents (see Appendix A) and allegations of abuse, neglect and - sexual assault must be reported to OPS immediately, or as soon as possible once the safety of all involved parties has been ensured, pursuant to Developmental Services . Division (DCD) Policy 129, Reporting and Notification of lncidentsIUnusual . Occurrences. For additional-information regarding mandated reporting refer to Policy 9.6 Serious Reportable Incidents, Sexual Assault, Abuse and Neglect investigations. A. For serious reportable incidents andlor allegations of abuse, the Officer will immediately initiate a preliminary investigation. B. The face sheet of the DS 2506 Incident Report (IR) shall be provided to the - Officer upon an?ivaI at the scene by the reporting party. lf the Face sheet of the IR is not immediately available the Officer will begin the preliminary investigation while awaiting receipt of the face sheet from the reporting party. C. The Officer will be responsible for the following actions: 1. Identify and secure the scene and ensure the safety and security of all involved parties; California Health and Human Services Agency Policy Number; 9.2 Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Subject: First Responder 2. Ensure first aid is rendered if needed. lf no other qualified personnel is on the scene to provide Erst aid, the Officer will provide first aid until relieved by other qualified personnel; 3. I Contact necessary resources to provide additional services as required, i-e. paramedics, coroner, Executive Director (ED), Commander, investigator, outside law enforcement; and 4. Make all required verbal and written notifimtions in accordance with Reporting to Outside Law Enforcement Agencies; 9.6, Serious Reportable incidents, Sexual Assault, Abuse Neglect Investigations; 9.7, Administrative investigative Procedures; 9.9, - Criminal Investigative Procedures; and DCD Policy #129, Reporting . and Notification of lncidentsIUnusual Occurrences. D. I Once the scene-is stabilized, the Officer will initiate a preliminary investigation which, at a minimum, will consist of: .. 1. Review the face page of the DS 2506 incident Report; 2. Separate all involved individuals; E. INVESTIGATIONS: Interview all involved parties using criminal admonishments as appropriate (Refer to Policy 9.14, Criminal and Administrative Admonishments); F. ADMINISTRATIVE Collect written declarations completed on the DS 240 Affidavit/Declaration form from the Unit Supervisor; 1. Provide the victims and all witnesses with a copy of the DS 6013 Notice of Confidentiality form and the DS 6014 Employee Rights infomation Sheet; 2. Contain and protect the scene: a. take photographs; - b. review related documents; and c. collect physical evidence. For information conceming evidence collection, refer to poIicy(s) 9.6, Serious Reportable Incidents, Sexual Assault, Abuse Ne lect investigations; 9.7, Administrative investigative Procedures; and 9.9, Criminal Investigative Procedures 3. Assess the available information to detennine the appropriate level of action to be taken: . G. CRIMINAL Initiate a full Crimellncident Report (DS 213). Page 2 of 11 Tmgluaigolrnia Health and Human Services Agency Policy Numben 9.2 I Eiarmartment of Developmental Services Issue Date: June 1, 2012 . {biting: of Protective Services Subject First Responder H. ADMINISTRATIVE INVESTIGATIONS: Should the Officer determine that the incident does not meet the elements of criminal conduct, then: 1. Initiate a full Crime/Incident Report (DS 213) or Death Investigation Report (DS 200) for all serious reportable incidents, sexual assaults and allegations of abuse. . 2. Complete an OPS Report (DS 212) for other non-serious reportable incidents. 3. For all incidents, write a detailed entry in the 24-hour Police Activity Log (See Appendix B) to document the facts. Minor incidents can be - concluded with a detailed log entry. BEHAVIORAL INCIDENTS When an Ofhoer arrives on the scene of a client behavioral incident, as defined by each DC's Policy(s), the Officer will: A. Take a position of observation. B. Ensure that clinical staff is aware of OPS presence and able to communicate their need for intervention, if needed. . C. Maintain communication with dispatcher and update the shift supervisor (or designee) as needed. - D. intervene if requested by clinical or on scene staff, and the Officer has made an independent assessment that intervention is necessary and appropriate; or in any circumstance where the Ofhcer has determined that the situation has - . deteriorated to the point where there is an imminent danger of harm to any of the involved parties. . E. Interventions may be verbal in nature, however, any physical interventions shall be limited to those POST certified law enforcement techniques that have been adopted by the Department of Developmental Services, Oflice of Protective Services. ln all cases, OPS staff shall use the least restrictive or intrusive techniques which are appropriate to the situation and in accordance with Policy 8.1, Use of Force. F. At the.end of any physical law "enforcement intervention involving the use of force, the Officer will complete a Use of Force Report to be included with the DS 213 Crime Incident Report. G. Pursuant to DCD Policy #129, Reporting and Notification of Incidentslunusual Occurrences, use of force incidents shall be documented through the clinical IR process. Once completed, OPS Officers shall provide the Unit Supervisor with a copy of the OPS Crimellncident and Use of Force reports I to assist clinical staff in completing the IR. Page ?r 11 California Health and Human Services Agency Policy Number: 9.2 . Department of Developmental Services Issue Date: June 1, 2012 Ofnce ofProtective Services Subject First Responder IV. MEDICAL EMERGENCIES . Whennresponding to medical emergencies, as defined by each DC, Officers will do the following: . A. Proceed safely to the scene and detennine the need for any medical services or aid to injured persons. . B. lf requested, notify the operatorldispatcher that the full Code Blue Team (Physician, Health Services Specialist (HSS), Assistant Coordinator of Nursing Services (ACNS) and respiratory therapist) are on the scene. . C. Direct paramedics or ambulance to the scene. D. Provide traffic control; provide safety and security at the request of the Code Blue Team leader (physician). E. lf appropriate, conduct a preliminary investigation according to the provisions of this policy. V. REPORTING TO LOCAL LAW ENFORCEMENT Pursuant to Section 4427.5 of the Welfare and Institutions Code and in accordance with Policy 7.1, Reporting to Outside Law Enforcement Agencies and the Memoranda of Understanding (MOU) between the DCICF and the identified local law enforcement agency(s): . A. All serious injuries and deaths of clients will be reported immediately to the identified local law enforcement agency by telephone; and B. All incidents as identified in Policy 7.1, Reporting to Outside Law Enforcement Agencies, will also be reported immediately to the identified local law enforcement agency by telephone. C. After the initial phone call, a copy of the completed DS 213 will be transmitted .to the local law enforcement agency by the end ofthe Officers shift. D. The OPS shift supervisor, or designee, will comply with the Memorandum. of Understanding (MOU) agreement with local law enforcement. VI. CRIMEIINCIDENT REPORTS For all serious reportable incidents, a Crimellncident Report (DS 213) will be completed by the Officer. Additionally, a DS 213 will be completed under the following circumstances: . Page 4 of 11 ?-Cai-ifomial-tealth and Human Services Agency Policy Numben 9.2 Department of Developmental Services Issue Date: June 1, 2012 Lifiicre- of Protective Services Subject: First Responder A. Workplace violence which might constitute a criminal incident. B. Disasters or other major on-site emergencies (See Appendix for definitions of disaster and other emergencies). - C. Traffic accidents with personal injury to andlor damage to state vehicles (CHP 555 Fonn). D. Accidents resulting in serious injury or fatalities shall be reported immediately to the local law enforcement agency. . E. injuries to staff which occur on facility grounds caused by any assault or other criminal incident. F. Any actions, not committed by a client, which are orlappear to be a crime under applicable State or Federal law. G. Other specific incidents which, at the determination of the Commander or designee are significant enough to warrant completion of a DS 213. ifli. SUBMISSION AND ROUTING OF A. For serious reportable incidents, a draft of the preliminary regrt 213) will be submitted simultaneously to the Sergeant, the Sgial investigator and the Commander grior to the conclusion of the Offlcer's shift. 5. Upon receipt of the preliminary investigation report, the.SSl, or designee, will review the report and will assign the case to an investigator immediately, or no later than the end of the SSl's, or designee's shift. C. For non-serious reportable incidents, the Officer will complete a draft DS 212 and submit the report to the shift Sergeant prior to the conclusion of the shift. D. The Sergeant and the Commander will confer, within 48 hours or two business days, regarding the content of the DS 212 and determine if: 1. The DS 212 contains sufncient information and the case should be closed. 2. Additional information/clarification is required and the case will be referred . . back to the Officer for follow up. 3. Crime/Incident Reports that do not rise to the level of a serious reportable incident will be handled by the DCICF Risk Management Department. i . Page 5 of 11 Califomia Health and Human Services Agency Poiicy Number: 9.2 Department of Developmental Services Issue Date: June -1, 2012 Office of Protective Services Subject: First Responder 4. lf additional evidence is developed that elevates any client injury to a serious reportable incident, then OPS will conduct a complete investigation. E. The Commander or designee will update the Executive Director regarding the status of all pending investigations weekly, or more frequently if needed. . References: . DOD Policy 129 Reporting and Notification of lncidentsIUnusuaI Occunences - 7.1 Reporting to Outside Law Enforcement Agencies 8.1 Use of Force 9.6 Serious Reportable incidents, Sexual Assault, Abuse and Neglect Investigations 9.7 Administrative Investigative Procedures 9.9 Criminal investigative Procedures 9.14 Criminal and Administrative Admonishments Page 6 of 11 . Health and Human Services Agency Policy Number: 9.2 - Department of Developmental Services lssue Date: June 1, 2012 I Qfiice of Protective Services Subject First Responder I Appendix A OF REPORTABLE INCIDENTS The nature, severity and circumstances surrounding injuries are factors that determine whether any particular injury rises to the level of being considered a "serious reportable incident'. To I determine what constitutes a serious reportable incident, the Ofiicer will assess the following: I. . injuries can be serious reportable incidents based on either the severity of the injury_ andlor the suspiciousness of the origin. . Severi of the In'u The injury is sufhciently severe in nature to warrant a full investigation as a serious reportable incident. Examples include: Lacerations requiring sutures, staples or Dura-bond - All fractures I degree bums -- Bites that break the skin Substantial hematoma Bruising (5cm or greater), or the number and locations of the bruises Any injury requiring medical treatment beyond first aid Any injury resulting in loss of consciousness injuries to intemal organs Sus icion: The origin of the .injury is sufliciently suspicious to warrant full investigation as a serious reportable-incident. Examples include: Minor injuries where either the origin is known or unknown; and There appears to be a pattern of similar injuries to this or other cIient(s); OR - . The location on the body (breast, genitals, buttocks) indicates the need for further investigation; OR The injury suggests the possibility of sexual assault or abuse; OR The injury, or a similar injury, has occurred repeatedly to this or other client(s); OR There have been reports of numerous similar injuries to different individuals; OR The type or severity of the injury appears to be inconsistent with client activity levellability; OR inconsistency in reports from client andlor staff regarding the origin ofthe injury; OR - The injury appears to have been caused by the actions or inactions of a staff member. Page _7 of 11 Califomia Health and Human Services Agency Policy Numbec 9.2 Department of Developmental Services issue Date: June 1, 2012 . Ofhce of Protective Services Subject: First Responder injuries that do not rise to the level of a serious reportable incident will be handled by the DCICF Risk Management process. lf additional evidence- is developed th elevates the - injury to a serious reportable incident, then OPS will conduct a complete investigation. ll. DEATHS All client deaths and all non-client deaths occurring on the DCICF grounds will be fully investigated as serious reportable incidents. OPS will not conduct the criminal investigation in those instances where any outside law enforcement agency has determined that it will be conducting an independent investigation. ill. ALLEGATIONS OF ABUSE Physical abuse . Sexual assault, abuse or exploitation - Neglect or emotional abuse Verbal abuse .. Fiduciary abuse Unauthorized physical or chemical restraint Unauthorized or inappropriate use of aversive conditioning Client-to-client interactions where there is a specific intent to cause serious injury or harm; retribution, intimidation, coercion, bullying, exploitation, conspiracy to commit hann . See OPS Policy 9.6, Serious Reportable incidents, Abuse, Neglect and Sexual Assault investigations, Developmental Centers Division Policy 126 "Abuse Prevention and Response" and Welfare and Institutions Code sections 15610 - 15610.65 for definitions of the above types of abuses. For all criminal wses, see applicable Califomia Penal Code sections. Clients' Rights violations will be handled according to DCD Policy 129, Reporting and Notification of lncidentsIUnusual Occurrences. N. MEDICAL EMERGENCIES . Any medical emergency that occurs related to an allegation of neglect or abuse or medication error shall be considered a serious reportable incident. Page 8 of 11 I I . Health and Human Services Agency Policy Number: 9.2 2 Department of Developmental Services lssue Date: June 1, 2012 . ct Protective Services Subject First Responder V. AWOL WITHOUT LEAVE) Any unauthorized client absence of flteen (15) minutes or greater shall be considered a serious reportable incident. Vi. POSSIBLE CRIMINAL ACTS Any actions by a client which are or appear to be a crime under applicable State or Federal law. Other specific incidents which, at the detemtination of the Commander or designee and the ED are signiticant enough to warrant inclusion as a serious reportable incident. - Page 9 of 11 . Califomia Health and Human Services Agency Policy Number: 9.2 Department of Developmental Services issue Date: June 1, 2012 I Office of Protective Services Subject First Responder . - Appendix DETAILED LOG ENTRIES I At a minimum, detailed log entries shall consist ofthe following: Date! 'Hme of Call Name of Reporting Party Location of Incident Type of Incident Additional officers responding (if any) . Narrative summary of what transpired; from arrival`- to assessment - to action taken . -- to disposition . Reference to any reference OPS report number and/or I.R. number Page 10 of 11 Health and Human Services Agency Policy Number: 9.2 Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Subject: First Responder Appendix DEFINITIONS OF DISASTERS AND OTHER EMERGENCIES According to the Department of Developmental Services' Continuity of Operations (COOP) and Continuity of Government (COG) plans, an emergency is defined as, "a sudden, usually unexpected event that does or could do harm to people, resources, propeflil. or the environment. Emergencies can range from localized events that affect a single office in a nuiidirig, to human, natural or technological events that damage, or threaten to damage, local operations. An emergency could cause the temporary, evacuation of personnel or the permanent displacement of personnel and equipment from the site to?a new operating location environmentf According to? the Califomia State Emergency Plan, a disaster is dehned as, "a sudden caiamitous emergency event bringing great damage loss or destructionf - Page 11 of 11 DEPARTMENT OF DEVELOPMENTAL SERVICES ogg, OFFICE OF PROTECTIVE SERVICES I I --, 9.6 Serious Reportable Incidents, Abuse, ISSUE DATE: June 2012 Neglect and Sexual Assault Investigations 7 I I A Approved? - 'll Approved: PATRICIA M. FLANNERY COREY ITH Deputy Director Chief A Develo mental Centers Division Office of Protective Services - This policy replaces Policies 9.6, Abuse and Neglect investigations and 9.7, Sexual Assault I I. GENERAL Pursuant to Oflice of Protective Services (OPS) Policy 9.2, Peace Officer First. Responder Duties, all allegations of abuse, neglect or sexual assault are considered "serious reportable incidents" .and will be thoroughly investigated in accordance with applicable policies. All employees of a Developmental Centenandlor Community Facility are mandated reporters pursuant to Department policy, Welfare and Institutions Code Section 15630(a) and Penal Code (PC) Section 11166(a) and must immediately, or as soon as possible once the safety of all involved parties has been ensured, report any known or suspected abuse, neglect or sexual assault. In accordance with the Developmental Centers Division (DCD) Policy 129, Reporting and Notification of lncidentsIUnusual Occurrences, an Incident Report (DS 2506) is initiated for all allegations of abuse, neglect or sexual assaultthe policy of OPS to and thoroughlyinvestigate all allegations of abuse, neglect and sexual assault to clients. For definitions of sexual assault, abuse and neglect, refer to Appendix A. ll. PEACE OFFICER - FIRST. RESPONDER RESPONSIBILITIES OPS police officers hereafter referred to as "Oflicers," will respond to all serious - reportable incidents (see Policy 9.2, Peace Officer -- First Responder Duties, Appendix A) which are reported to OPS and will immediately initiate a preliminary investigation. For Ofhcer responsibilities refer to Policy 9.2, Peace Officer -- First Responder Duties. Califomia Health and Human Services Agency Policy Number: I 9.6 i- - Department of Developmental Services Issue Date: June 1, 2012 Oflioe of Protective Services Subject: Serious Reportable Incidents, Abuse, le Sexual AssauItlnvest' ations EVIDENCE COLLECTION IN SEXUAL ASSAULT CASES When. investigating a possible sexual assault, evidence colIection_includes, but is not limited to: a. \Hctim's clothing, bedding, towels or tissues b. Photographs of crime scene . c. Photo raphs of bruising or other visible injuries . - d. Condoms or condom packages e. Dis rded items or articles f. Hair and debris . ga Fingerprints h. Saliva samples from suspect (upon probable cause and incident - to arrest, using Department of Justice (DOJ) rape kit) Ensure the victim and suspect are not allowed to shower, change clothing or engage in any other adivity which may destroy or contaminate evidence. IV. FORENSIC MEDICAL EXAMINATION OF THE The purpose of a forensic medical examination of the victim is to collect, preserve and document evidence. . .. A. The forensic sexual assault examination must be conducted according to State protocol at a designated facility by specialized hospital teams. . B. An OPS Investigator will be notified of all sexual assault allegations. An investigator shall respond when a forensic medical examination will be conducted. - C. Timeframe guidelines for a forensic medical examination: . 1. A victim should be taken for a forensic medical examination if, after medical _examination, the treating physician, in consultation with OPS determines that: 2. A forensic medical examination could provide additional evidence- that would aid in the investigation and possible criminal prosecution and; - 3. There is an allegation that a sexual assault occurred within the greceding 72 hours, gg - 4. There is an allegation that a sexual assault occurred more than approximately 72 hours previously there is the potential for gathering additional evidence. . Page 2 of 7 Califomia Heaith and Human Services Agency Policy Number: 9.6 Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Subject Serious Reportable Incidents, Abuse lect Sexual Assault Inv ations V. OPS RESPONSIBILITIES The investigator will complete the investigative report withi 30 ays, in accordance with . Policy 9.10, Investigation Closure and Disposition of inistrative and Criminal Cases. When the report is not completed s, the Commander or designee provide the Executive Director with a written status report A. A summary of what occurred . B. Results of interviews with witnesses and victim(s) C. Observations of the environment, if applicable D. Results of immediate medical assessment, if applicable E. Actions taken by the to protect the client(s) F. A summary of the remaining steps needed to complete the investigation G. Expected time frame for completion of the investigative report. VI. OPS INVESTIGATOR RESPONSIBILITIES Administrative Cases: For information on the investi ation, closure and disposition of Administrative . cases refer to Policy 9.7, Administrative Investigative Procedures and Policy l_ 9.10, Investigation Closure and Disposition of Administrative and Criminal Cases. - Criminal Cases: I For information on the investigation, closure and disposition of Criminal cases . refer to Policy 9.9, Criminal Investigative Procedures and Poticy 9.10, Investigation Closure and Disposition of `Administrative and Criminai Cases. Vlt. OPS SUPERVISING SPECIAL INVESTIGATOR RESPONSIBILITY For information conceming the Supervising Special Investigator responsibilities, refer Ei . to Policy 9.1, Administrative Investigative Procedures; Policy 9.9, Criminal Investigative Procedures and Policy 9.10, Investigation Closure and Disposition of Administrative and Criminal Cases. Page 3 of 7 Califomia Health and Human Services Agency Policy Number: 9.6 Department of Developmental Services Issue Date: June 1, 2012 Oflice of Protective Services Subject; Serious Reportable incidents, Abuse lect Sexual Assault Investi ations lf a case involves criminal allegations, the SSI shall make recommendations to the Commander regarding potential criminal case referrals to the District Attomey's Office in accordance with Policy 7.9, District Attomey Referrals. OPS COMMANDER RESPONSIBILITY . - . For infomation concerning the Commander's responsibilities, refer to Policy 9.7, - Administrative Investigative Procedures; Policy 9.9, Criminal Investigative Procedures and Policy 9.10, lnvestl atlon Closure and Disposition of Administrative and Criminal Cases; Where a referral for criminal prosecution is recommended, the OPS Commander, in consultation with the OPS Chief, will make the tinal detenninations for referral to the District Attomey's Oflice: In _alI cases where a client has been identified as the suspect, the Commander will discuss the investigation and recommendations with the DCICF Executive Director, the OPS Chief and the Developmental Centers Division (DCD) Deputy Director. Refer to Policy 7.9, District Attorney Referrals. IX. ALLEGATIONS OF SEXUAL ASSAULT, ABUSE OR NEGLECT OCCURRING IN THE COMMUNITY I ln those incidents when OPS is not responsible for conducting an investigation, all allegations of sexual assault, abuse or neglect of a client which is suspected to have occurred in a jurisdiction outside that of the DCICF, the OPS Commander will immediately ensure that suspected abuse is reported in compliance with existing laws and policy. Suspected Child Abuse: Penal Code Section 11166(a) requires mandated reporters to report suspected - _abuse of a child to a police or sheriffs department. The mandated reporter shall make an initial report to the agency immediately or as oon as practicably possible by telephone and the mandated reporter shall re and mail, fax or electronically transmit a written follow-up report withi_ hours of becoming aware of the possible incident. Suspected Elder or Degndent Adult Abuse: lf the suspected or alleged abuse occurs in a place other than a state mental hospital or DC, the W&l 15630(a) requires mandated reporters to report suspected abuse of elder or dependent adults to Adult Protective Services. or the local law enforcement agency. W&l to report the known or suspected - instance of abuse by teIepIion as practicably possible, .. and written re ort sent vrrithi worjlgin . Califomia Health and Human Services Agency Policy Numbec 9.6 a Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Subject Serious Reportable Incidents, Abuse, iect, Sexual Assault lnvesti `ons W&l 15610.45 defines "local law enforcement aqency" as "a city_ police or county . sheriffs department, or a county probation department, except persons who do not work directly with elders or dependent adults as part of their official duties, including members of support staff and maintenance staff." References: - DCD Policy 129 Reporting and Notilication of Occurrences 7.9 District Attorney Referrals 1 9.2 Peace Officer -- First Responder Duties 9.7 Administrative Investigative Procedures 9.9 Criminal investigative Procedures . 9.10 Investigation Closure and Disposition--of Administrative and Criminal Cases it PC 11166 Mandated reporting requirements gj W&l 15630(a) Nlandated reporter defined W&l 15630(b)(1) hllendated reporter responsibilities W&l 15610.45 Local law enforcement agency defined Page 5 of 7 California Health and Human Services -Agency Policy Number: 9.6 - Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Subject Serious Reportable Incidents, I Abuse, lect, Sexual ations Appendix A DEFINITIONS For additional definitions of abuse, refer to the Developmental Centers Division Policy 126, Abuse Prevention and Response. Any contact, motion, or action to a consumer by staff, contract/stipend employees, volunteers, visitors, family members, or others that is not considered a reasonable and prudent execution of one's duties and/or relationship to an individual; or the willful infliction of injury, unreasonable- confinement, intimidation, or - punishment resulting in . or having the potential to .result in physical harm, pain, or mental anguish, would be summ. ggressio ?ivpuse is to cause hann andlor whenever a pattem of aggression is i entitied, regardless of injury. -. 1. Physical Abuse - The use of physical force that results in or has the potential to result in bodily injury, physical pain, or impairment. Examples include, but are not limited to: kicking, pushing, slapping, hitting, shoving, shaking, scratching, biting, striking with or without an object, pinching, burning, consumer-to--consumer altercations, etc. Other examples include physical punishment, confinement, or unlawful use of restraints, and corporal punishment, 2. Sexual - Sexual contact that results from threats, force, or the inability of the person to give consent, and involving a range of activities, including but not limited to assault, - rape, molestation or sexual harassment. Examples include but are not limited to exhibitionism, forced viewing of pornographic material, intimate touching (including sexual touching or kissing), or any sexual activity that occurs without consent. 3. Verbal, Emotional, or -The verbal or nonverbal infliction of anguish, pain, or distress that results in, or has the potential to result in, mental or emotional -- suffering. Examples include, but are not limited to demeaning statements, harassment, threats, insults, humiliation, or intimidation; threatening harm or deprivation with verbal or nonverbal threats or gestures; isolating individuals from friends, family, or nonnal activities. 4. Fiduciary - Illegal or improper use of an individuals funds, property, or assets without informed consent and resulting in monetary, personal, or other benefit, gain, or profit for the perpetrator; or monetary or personal loss by the individual. - Examples include, but are not limited to stealing personal funds andlor property, cashing checks without permission, forging signatures, misusing money or possessions, andlor improper use of conservatorship, guardianship, or power of attorney. 5. Neglect: Failure to provide goods or services necessary to maintain health or to avoid physical or harm. - . Page 6 of 7 Califomia Health and Human-Services Agency Policy Number; 9.6 an . . . Department of Developmental Services - Issue Date; June 1, 2012 Office of Protective Services Subject: Serious Reportable Incidents, . Abuse Ne lect, Sexual Assault Investi ations a. Physical - The deprivation of goods and services necessary to maintain physical or mental health. Examples_ include withholding food, fluids, clothing, shelter, personal hygiene, medicine, comfort, safety, or help. b. Medical - Failure to provide care for existing medical problems. Examples - include not taking action on medical problems, prescribed treatment, or therapies; not calling a physician when necessary change of status); failure to monitor for adverse drug reactions. - c. - The desertion of an individual receiving services by any person who has assumed responsibility for providing care of that individual, which may include staff sleeping while on duty. 6. Restraints - Unauthorized Restrictive Procedure. This includes use of restraints (physical, medical, and chemical): - a. For purposes of punishment; b. full compliance with relevant state and federal regulations on c. Where the use of the restraint was continued past the point necessary to manage the behavior for which the restraint was initiated. Page 7 of 7 I . DEPARTMENT OF DEVELOPMENTAL SERVICES OF PROTECTIVE SERVICES 9.7 Administrative Investigative Procedures issue DATE: June 2012 Approved: VIL Approved: 2 PATRICIA M. FLANNERY REYS Deputy Director Chief Develo mental Centers Division Office of Protective Services (For fomrer Policy 9.7, Sexual Assault, see Policy 9.6, Serious Reportable Incidents, Abuse, Neglect and Sexual Assault Investigations, issued June 2012). I. GENERAL It is the policy of Office of Protective Services (OPS) to conduct prompt administrative investigations in order to identify and address any violation(s) of policy or other . administrative procedures. Administrative investigations involve allegations of violation cf policies, administrative procedures and allegations of misconduct by staff or clients which do not rise to the level of a criminal violation. - ADMINISTRATIVE INVESTIGAHONS - -- An administrative investigation is the systematic collection of facts for the purpose of describing or explaining an event or series of events which may constitute violations of Developmental Center andlor Community Facility policy _andIor - procedures or other codified regulations governing the care and treatment of the clients residing in a DCICF. The investigation consists of the preliminary investigation, which is conducted by the OPS Officer. The preliminary investigations completed by Officers are not deemed "full investigations" for the purpose of taking disciplinary action against employees. For information concerning Officer investigations see Policy 9.2, Peace Officer -- First Responder Duties; and A comprehensive investigation, conducted by an OPS Investigator, encompasses the preliminary investigation, summaries of the witness, victim and suspect interviews, and requires further gathering and review, examination and analysis of evidence, as well as completion of the_ final investigative report. Once completed, this investigation will sewe as the basis for taking administrative action involving an employee(s) or cIient(s). Califomia Health and Human Senrices Agency Policy Number: 9.7 I Department of Developmental Services Issue Date: June 1, 2012 Oflice of Protective Services Subject: Administrative Investigative Procedures ll. PRELIMINARY INVESTIGATION -- PEACEOFFICER -- FIRST RESPONDER DUTIES OPS police ofhcefs, hereafter referred to as "Officers," will respond to all serious reportable incidents (see Policy 9.2, Peace Officer -- First Responder Duties, Appendix A) which are reported to OPS and will immediately initiate a preliminary investigation. . For Officer responsibilities refer to Policy Peace Officer -- First Responder . Duties. Ill. INVESTIGATION -- FACILITY INVESTIGATOR DUTIES - When an investigator is assigned an Administrative investigation, they shall: 1. Develop an Investigative Plan; 2. Complete all evidentiary reviews. lf necessary, request additional documentary . evidence; 3. Interview all involved parties, including the suspect(s), providing all appropriate admonishments, refer to Policy 9.14, Criminal and Administrative Admonishments. (See Appendix A for information pertaining to suspect interrogations); 4. Interviews shall be recorded with a tapeldigital voice recorder. Refer to Policy 9.13, Digital Recording of Interviews; 5. Prepare a completed investigation report with findings: a. The report will _identify and - explain the documents included as- Attachments to the report. b. -The report will include the appropriate conclusions or findings for each serious reportable incident or allegation of sexual assault, abuse or neglect. 6. Submit the completed report to the SSI for review and approval. IX. OPS SUPERVISING SPECIAL INVESTIGATOR Supervising Special Investigators (SSI) are responsible for ensuring that all serious - reportable incidents} sexual assault, abuse and neglect investigations are thoroughly investigated and completed within acceptable timelines. The Supervising Special Investigator will: Page 2 of 14 I. Califomia Health and Human Services Agency -- Policy Number 9.7 Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Subject Administrative Investigative Procedures . 1. Assign an OPS Investigator to the case; . 2. Notify the Commander of all allegations of sexual assault, abuse or neglect where evidence of injury is present or where infomation obtained indicates the likely substantiaticn ofthe allegation(s); a. In cases involving sexual assault/abuse, consult with the Commander, OPS police ofncer or Investigator treating physician to detennine the need for a forensic medical examination. 3. Direct OPS Investigators to ensure that investigations are conducted appropriately, timely and within policies and guidelines; 4. Track and monitor the progress of all open investigations; 5. Brief the Commander and provide regular updates regarding the status of any open investigations; and 6. Review and approve investigative reports to ensure that investigations are thorough and the conclusions or findings are accurate and supported by the evidence and facts contained within. V. OPS COMMANDER RESPONSIBILITY The OPS Commander will ensure that OPS staff is trained in and complies with established policies and guidelines when conducting administrative investigations. The OPS Commander will: 1. Manage and direct the OPS Sergeant(s) and Supervising Special investigator to ensure timely completion and delivery of police and investigative reports; 2. Immediately notify the DCICF Executive Director (ED) regarding allegations of sexual assaultfabuse; 3. Immediately notify DCICF ED of any relevant informaticnlevidence that would have a potential impact on client health, safety or welfare; and 4. Communicate regularly with DCICF ED regarding the status cf all serious reportable incidents, sexual assault, abuse and neglect investigations. VI. EVIDENCE Gather all evidence in accordance with recognized law enforcement practices related to the identification and gathering of evidence as outlined in Appendix B. Page 3 of 14 California Health and Human Services Agency Policy Number: 9.7 Department of Developmental Services Issue Date: June 1, 2012 Oftice of Protective Services Subject; Administrative .lnvestigative .. Procedures VI. REPORT AND CONCLUSION Upon conclusion of the investigation, the investigative findings will be submitted to the Supervising Special Investigator for immediate review and approval. . The approved report will then be forwarded to the Commander for final approval and distribution. These tindings should: 1. Advise DCICF management what actually occurred in regards to the event as best as can be determined through the investigation. rn 2. Provide a basis for infonrred management decisions, both interim and long term, with respect to personnel or regarding? other actions that maybe taken. - 3. Recommend, as appropriate, certain corrective actions, which when implemented, would prevent similar future occurrences. For additional information regarding the preparation of an administrative investigative - report, see Appendix C. References: 9.2 Peace Officer -- First Responder Duties 9.13 Digital Recording of Interviews 9.14 Criminal and Administrative Admonishments . I - Page 4 of 14 California Health and Human Services Agency Policy Number: 9.7 Department of Developmental Services Issue Date: June 1, 2012 Office of Protective Services Subject: Administrative Investigative Procedures Appendix A I SUGGESTED GUIDELINES AND TECHNIQUES FOR INTERVIEWS A. Interview location: 1. Select a site that is conduciveto private discussion and is a relaxed and informal atmosphere.- 2. Interview should not be interrupted by persons, phone calls, background noise. . 3. lf discussion is to take place at the scene of the event, eliminate normal activity or traffic. 4. The Investigator should ensure that no other actual or potential . witnesses, or associated parties, are able to overhear or observe the . interview. B. Interview Objectives -- An investigator should set specific objectives for each interview based on advance information about a subject's connection with the case. These include: 1. Confirming a person's presence on the scene when the suspect event occurred. 2. Confirming, or ruling out, a suspected motivation to suppress or distort the facts of a case. 3. Identification of others who were either present at the time of the event, or had an opportunity to observe all or part ofthe events being investigated. 4. Learning about work records, demeanor, and behaviors of eyewitnesses. C. Staff Assistance -- lf requested by staff, it may be advantageous to have another management representative present for some or all of the witness interviews. 1. May have direct knowledge regarding staffing details/responsibilities. 2. May have relevant familiarity of clients' treatment plans, as well as history of relative suspected behaviors. - - 3. May have information regarding human resource issueslconcems. D. Conducting the Interviews The Opening -- Preliminary demeanor, formed in the first few minutes of conversation, may have a significant impact regarding the - degree of cooperation an investigator will receive. Investigators should create a . .positive atmosphere throughout the interview. Page 5 of 14 Califomia Health and Human Services Agency Policy Number: 9.7 Department of Developmental Services Issue Date: June 1, 2012 Oflice of Protective Services Subject; Administrative Investigative Procedures 1. The greeting should be cordial and sincere. An investigator is to identify him/herself by namelrank, unit. - 2. lf a management assistant is present, they should_ be introduced. and identihed. 3. All interviews shall be_ recorded in accordance with Policy 9.13, Digital Recordin of interviews. 4. The subject is to be asked to indicate their fullname, job title, work assignment, length of service, shift, and immediate supervisor. - 5. An investigator should attempt to place an interview subject at ease by spending a few moments discussing the person's job and length of service at the agency. The situation to be discussed is to be addressed when the subject's initial anxiety has subsided. 6. The Investigator should continue to show an interest in _the subject's personal concerns, without allowing the subject's responses to significantly vary from the questions asked. 7. The Investigator should keep the conversation as informal and as relaxed - as possible without becoming overly familiar or personal. 8. Good contact should be maintained throughout the interview. 9. The Investigator should avoid the use of legal or bureaucratic-sounding language. E. Conducting the Interview: The Discussion Two types of interview techniques are: free narrative, and direct examination. Both of these techniques i have a place in the interview process: 1. Free narrative is the subject's description, in his or her words, of what occurred. I a. An interview usually begins with the "free narrative" fomiat. b. I The subject is given a basic frame of reference -- including the specific dates, times, and events of interest to the Investigator. c. The subject is asked to "tell what happenedwords. d. interruptions or questions by an Investigator are only to be made . when necessary to keep the subject "on track", or to clarify major details. - - Page 6 of 14 . California Health and Human Services Agency Policy Number: 9.7 Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Subject: Administrative investigative Procedures 2. Direct examination is a series of specific questions which assist a subject in relating his or her account in an orderly, logical and complete fashion. a. Generally considered the most important technique in conducting aninterview. b. Utilizes the basic questions: who, what, when where, how and why. c. The investigator should avoid the use of "leading questions", or - those which suggest a specinc response. el. The investigator must try to separate facts which a witness knows first-hand from conclusions or inferences the witness may make about events or circumstances; F. Physical Considerations The Investigator needs to consider all possible physical limitations of witnesses: Hearingimpairment Does a witness wear corrective lenses? Were they in place when helshe observed the event? Lighting -- Was there suflicient lighting at the time ofthe event for - the subject to have clearly seen what they are reporting? Quantitative estimates -- (Time, distancesproom sizes) -- Should be verified to determine the subjects perception, o_ Obstructions - Did a witness have a ciear unobstructed view? G. issues when interviewing clients it is the responsibility of the investigator to determine if a client who is involved in an event can be regarded as a principal witness - based on the cllent's' ability to recall and describe events. When possible, the client should be removed from the scene to minimize evidence contamination and to help ease any potential anxieties the client(s) may experience. . Get an immediate determination regarding the cIient's mental capacities and communication skilis. I Page 7 of 14 Califomia Health and Human Services Agency Policy Numben 9.7 Department of Developmental Services Issue Date: June 1, 2012 Office of Protective Services Subject; Administrative Investigative . . Procedures Interview the client as soon as possible. Unless the client requires medical attention away from the scene, hefshe should be kept at the scene until the arrival of the Investigator. The client should be separated from others who were involved in or observed the event. - The interview should be conducted at a place where the client will - feel comfortable, and with a staff person that the client trusts. The Investigator should listen carefully and patiently, and should record whatever infomation the client is able to provide. The ciient should be asked to describe what happened in their own words. The Investigator may have a or other responsible clinician present to assist in clarifying personal identities and other details. lt may be helpful to have a an evaluation of - the client regarding the cIient's capacity to understand truth from falsehood and to credibly provide infonnation regarding the event. This evaluation should be conducted by a iicensed or especially if the client may be expected to provide sworn testimony. lf the client is unable to complete the interviewnfor any reason, a second intenriew should be arranged as soon as practical, preferably within 24 hours. Refer to Policy 9.13, Digital Recording of Interviews, for information relative to digitally recording client interviews. - If impractical, a complete set of notes should be dictated or handwritten containing what has been learned from the client. H. Non--Verbal Clients N0n--verbaI clients (witnesses or victims) as a source of information are not to be overlooked, even ifthey are non-verbal. These individuals may have the capacity to communicate through I other mechanisms signing, communication board, etc.) . Page 8 of 14 - Galifomia Health and Human Services Agency Policy Numben 9.7 Department of Developmental Services Issue Date: June 1, 2012 .. Office of Protective Services Subject: Administrative investigative Procedures . Whether the questioning is conducted by the investigator or another person, the investigator must be present to guide the questioning, assess a clients affect, and consider the value of a client's infomation. Page 9 of 14 Califomia Health and Human Services Agency Policy Number: 9.7 Department of Developmental Services Issue Date: June 1, 2012 I Office of Protective Services Subject: Administrative investigative i Procedures Appendix CONSIDERATIONS IN THE COLLECTION AND HANDLING OF EVIDENCE A. There are four major forms of evidence Testimonial -- Verbal evidence - Documentary -- Evidence obtained from documents Physical - Actual, real, items, objects, or material that pertains to the case Demonstrative -- Diagrams, photos, videos, or audio recording. Within each form of evidence there are two major types: Direct -- evidence that directly proves a fact without inference or presumption Circumstantial -- evidence that involves inference or presumption . in order to prove a fact. Example of each type of evidence: Testimonial/Direct: Wctim or eyewitness testimony TestimonialICircumstantial: Testimony from secondary witnesses Documentary/Direct: Written statements, time cards, sign--in sheets DocumentaryICircumstantiaI: Policies and Procedures, description of Duties Weapons, bodily fluids, DNA - PhysicaIICircumstantial: Bruising, key card access records . DemonstrativelDirect: Photos, videos or diagrams of the actual scene . Demonstrative/Circumstantial: Charts and graphs of victim behavior B. Preserving Physical Evidence The scene itself should be sketched andlor photographed during a -- preliminary review. Contents of the scene: Any items that may reveal facts about the event, by virtue of their condition and/or placement. These items should be noted and cataloged as described below. Corroborative Evidence: Items such as hair, blood, fibers, tissue, latent fingerprints or other materials that may be used for comparative analysis. ln cases where there is physical injury any objects or instruments that could have been used to cause the injury should be noted and cataloged as described below. Page 10 of 14 California Health and Human Services Agency Poiicy Number: 9.7 Department of Developmental Services Issue- Date: June 1, 2012 Office of Protective Services Subject Administrative investigative Procedures C. Collecting physical evidence Maintain the integrity of the evidence by documenting its location in the scene with photographs and/or sketches. Use care not to contaminate any evidence during the collection and documentation process. Follow standard police procedures for evidence collection. . Items that are not being collected a broken window) should . still be documented as described below. D. Documentation and establishing a chain of evidence 1. Provide a clear written description of each item of evidence including: a. Date, time and location where the item was found. - b. identity of the person whotirst locatedfobtained the object. c. Brief description of the item. . d. Pertinent remarks regarding the item's origin, connection with the event. 2. lf the evidence is not being taken into custody but will potentially be used in the investigation, it should be thoroughly photographed and all of the . above information should be recorded and signed by the person investigating. 3. lf the item is being taken into custody, an approved evidence container should be utilized and a "chain of evidence" should be` established as follows: a. Date and time the item was placed into OPS custody. . b. The name and signature of the person taking the item into custody. c. The name of the person from whom custody of the item was taken. -- d. Each and every time the evidence is transferred from one person to another, there must be complete documentation of who transferred the evidence, who received it, and the date and time the transfer occurred. e. Ali evidence must be stored in a secure location appropriate to maintain the integrity of the items. - E. Photographic Evidence 1. Benefits of photographs: a. Provides permanent record of fragile or perishable evidence. b. Clarities written reports. c. Supplements notes and sketches. - d. Provides for identification. 2- Color photographs a. Wsible injuries should be taken within one hour of incident. 3. Equipment- 35MM, Digital Camera or Video Camera(s) Page 11 of 14 Califomia Health and Human Services Agency Policy Number: 9.7 Department of Developmental Services issue Date: June 1, 2012 . Ofhce of Protective Services Subject: Administrative Investigative Procedures 4. Guidelines The following is essential for photos to have evidentiary value: a. The object(s) in photo must be relevant. . b. The photo must accurately describe the scene. c. Different _views of the scene should be taken. d. The photo should not appeal to emotiohs. e. The photographer may need to testify about: date, time each photograph was taken, and possibly location and direction of camera. . 5. Scene Photographs a. Show the scene with increasing levels of detail. . b. May incidentally record details that later become essential information. . c. Photograph items at the scene which may change or be destroyed food). 6. - Three Step Approach a. Show the overall scene with overview photographs. b. Show location of evidence with mid-range photographs. c. Show details of evidence with close-up photographs. 7. Photo Labeling a. take care to clearly identify the subject. b. Be sure to date the photo. - c. Be sure to indicate the accurate time. -- d. Be sure to identify the person taking photo. e. include a descriptive narrative (if needed). f. Identify client name, ID number, or other identifying factor. Page 12 of 14 Califomia Health and Human Services Agency Policy Numben 9.7 i Department of Developmental Senrices Issue Date: June 1, 2012 Office of Protective Services Subject: Administrative Investigative Procedures Appendix 2 GUIDELINES FOR WRITING ADMINISTRATIVE INVESTIGATIVE REPORTS A. Upon conclusion ofthe investigation, the investigative findings shall be submitted I to the Supervising Special Investigator for immediate review and approval. The approved report will then be fonrvarded to the Commander for distribution. These I findings should: I 1. Advise_ management what actually occurred in regards to the i event as best as can be determined through the investigation. 2. Provide a basis for informed management decisions, both interim and . long term, with respect to Personnel or regarding other actions that may be taken. . 3. Recommend, as appropriate, certain corrective actions, which when implemented, would prevent similar future occurrences B. A clear, comprehensive, and accurate reporting of the investigative findings is` i necessary for management to determine an appropriate course of action. C. Types of reports -- ln practice, investigative findings will be presented in one or . more of the following three fonnats: 1. Oral Report -- This type of reporting occurs on an ongoing basis. These 3 must be made to the Executive Director or designee, whenever an investigator discovers information requiring a management decision or action; ?ExampIes include: . a. identification of any condition adversely affecting the welfare or safety of clients. b. Identification of a person or persons strongly suspected of client abuse. - I - 2. Written status report -- occurs on an "as needed basis'. During the course of an extensive investigation, it is often recommended to provide i ongoing information in order to: a. Provide updated status reports to DCICF management. b. Provide a solid foundation and documented chronology by which a final report can be written. 3. Final written report a. Used to formalize an Investigators methodology, Endings and conclusions upon the completion of an investigation. A final written report serves as the comprehensive record of a completed investigation. I D. Format - A basic reporting format should be followed. While a single universal format may not meet the needs of every investigative report, the following issues should be addressed; Page 13 of 14 Califomia Health and Human Services Agency Policy Number: Department of Developmental Services Issue Date: June 1, 2012 Office of Protective Services Subject; Administrative investigative Procedures - 1. -- This section should contain a brief summary ofthe situation which was the precipitating factor prompting the need for an investigation. - . 2. BackgroundIHistory - include general information describing clients, staff, or others involved in the investigation. . 3. lnvesti ator Process or Protocol A summary ofthe investigative process utilized, including a list of those interviewedhnterrogated as well as records or documents reviewed, and other physical evidence examined. The evidence should be categorized by its four fonns - testimonial, physical, documentary, and demonstrative. . 4. Factual Findings -- A summary ofthe "facts", is usually presented in a chronological sequence as discovered during the course of the investigation. - 5. Conclusions - An investigators conclusions should be based upon information contained in the factual findings section of the report. 6. Recommendations -- lf provided, should be presented in a_ broad manner rather than being very specific. Page 14 of 14 . DEPARTMENT OF DE ELO MENTAL SERVICES OFFICE OF PROTECTIVE SERVICES 9.9 Criminal Investigative Procedures ISSUE DATE: June 2012 Approved: Ort. Approved: z% PATRICIA M. FLANNERY COREY Deputy Director Chief Develo mental Centers Division OfiiceofProtectIve Services I. GENERAL It is the policy of The Ofnce of Protective Services (OPS) to conduct thorough criminal investigations into actual, alleged or possible crimes which occur at the Developmental Centers and Community Facility CRIMINAL INVESTIGATIONS -- DEFINED A criminal investigation is conducted to determine whether or not a crime was committed by establishing the elements ofthe alleged crime, collecting all available evidence in the course of the investigation and objectively analyzing the facts and presenting the findings. . The investigation consists of the preliminary investigation, which is completed by the Officer and the comprehensive investigation, which encompasses the preliminary investigation; summaries of the witness, victim and suspect interviews; -anaIysis of evidence and completion of an investigative report, which is completed by the assigned Investigator. Pursuant to OPS Policy 9.2, Peace Ofticer -- First Responder Duties, all allegationsof sexual assault, abuse andlor neglect are Serious Reportable Incidents and will be managed according to applicable policies regarding investigation, notification and routing of completed reports. I II. PRELIMINARY INVESTIGATION - PEACE OFFICER - FIRST RESPONDER DUTIES Determine the scope or extent ofthe possible crime scenelmaintain scene integrity. The Ofticer's responsibilities include: A. Ensuring medical attention is provided to the victim or others, if needed. Appropriate documentation of this includes: 1. Determining whether a medical evaluation is needed for evidentiary . purposes. If so, ensure; - 'i .- i Seimas .. .*?Pm9?t?i sewices issue -. . forenslc medical examination is conductgfin ycases ot alleged e. . abuse- I- b. A body check is conducted and documented forisigins of injuries in --. cases of alleged or suspected physical abuse. isa - - - c. Pharmacological consultation occurs for mekbonlchemical errors. Assess whether the incident nses to the level of cnminal conduct anariuen . . . i possible cnmes committedObtain copies of all medical notes pertinent to the incidentGather basic facts regarding the incident (who, what, when, where, why and -ei - how). . Determine who the witnesses are. . Separate ail involved parties; victrm(s), witnesses, suspect(s) (any of these individuals may be staff, clients or members ofthe public). G. interview all invoived parties using criminal admonishments as appropriate (Refer to Policy 9.14, Criminal and Administrative Admonishments). . H. Complete a usenet: eport prior to the end of the shift and route the eps.-r as - follows; 1. For serious reportable incidents which are criminal in nature, forward the report to the Sergeant, Supervising Special investigator (SSI) and - Commander simultaneously. 2. For all other criminal cases, forward to the report to the Sergeant for review and approval. The Sergeant will fonrvard the approved report to - the Commander for review, closure or referral to the Special . investigations Unit (SIU). - ill. - INVESTIGATOR DUTIES lf any allegations of sexual assault, abuse 'or neglect could rise to the level of criminal conduct, or in any other instance where a crime is alleged to have occurred, then the criminal and administrative investigations must be bifurcated, and will require sep rate i reports. ln addition to criminal investigation responsibilities which are identitted in this policy, an administrative investigation (refer to Policy 9.7, Administrative investi ative Procedures) will be conducted separately to determine which, if any, administrative violations may have occurred. - A. ln cases where the need for outside agency documentation is not a consideration, the Investigator shall complete the following responsibilities within 30 days: Page iw California Health and Human Services Agency Policy Numben 9.9 Department of Developmental Senrices Issue Date: June 1, 2012 Office of Protective Services Subject: Criminal Investigative 1. Develop an Investigative Plan. 2. Complete an evidentiary review. If necessary, request additional documentary evidence. 3. lntenriew 'all involved parties, including the suspect(s), providing all Criminal Admonishments in accordance with Policy 9.14, Criminal and . Administrative (See Appendix A for information pertaining to Interrogations). 4. Interviews shall be recorded with a tapeldigital voice recorder. Refer to Policy 9.13, Digital Recording of Interviews. 5: Prepare a completed investigation report with findings. a. The report will identify and explain the documents included as - Attachments to the report. . b. The report will include the appropriate conclusions or tindings for each serious reportable incident, allegation of sexual assault, abuse, neglect andlor crime. - . 6. Submit the completed report to the SSI for review and approval. B. For investigations involving outside agency reports, the Investigator shall: 1. Monitor the availability of reports (autopsy, evidentiary, toxicology, crime, etc.) and obtain copies as soon as they become available. 2. Update the SSI regarding the above listed report(s) status and expected i receipt dates every 30 days. 3. Once all outside agency reports have been received, the investigator shall, as soon as possible but no later than 30 days, complete the . investigation consistent with the above protocol. . IV. EVIDENCE Gather all evidence in accordance with recognized law enforcement practices related tothe identification and gathering of evidence as outlined in Appendix B. V. REPORT AND CONCLUSION o' Upon conclusion of the investigation, the investigative tindings shall be submitted to the SSI and Commander for review and approval. lf criminal violations were Page Califomia Health and Human Services Agency Policy Number: 9.9 Department of Developmental Services Issue Date: June 1, 2012 Office of Protective Services Subject: Criminal investigative Procedures substantiated during the investigation, the investigator will include a recommendation that the use be referred to the District Attomey for possible prosecution in accordance with Policy 7.9, District Attorney Referrals. lf the case is substantiated and has been referred to the District Attomey for possible prosecution, the Commander will advise the Executive Director of the findings pending a- determination of tiling from the District Attomey. lf the case is substantiated but not referred to the District Attomey for prosecution, the report shall be distributed in accordance with Policy 9.10, Investigation Closure and Disposition of Administrative and Criminal Cases . References: 7.9 District Attorney Referrals 9.2 Peace Officer - First Responder Duties . 9.7 Administrative investigative Procedures 9.9 Criminal- investigative Procedures 9.10 Investigation Closure and Disposition of Administrative and Criminal Cases 9.13 Digital Recording of Interviews 9.14 Criminal and Administrative Admonishments ft: Page i i . . . . Calrfomra Health and Human Services Agency Policy Numbert 9.9 Department of Developmental Services Issue Date: June 1, 2012 Office of Protective Services Subject: Criminal Investigative .E APPendix-A SUGGESTED AND TECHNIQUES FOR INTERROGATIONS A. Interview location 1. Select a site that is conducive to private discussion and, if possible, might allow for a more relaxed and informal atmosphere. 2. Interview should not be interrupted by persons, phone calls, background noise. - 3. If discussion is to take place at the scene or in the area of the incident, eliminate nomral activity or traffic if possible. I 4. Investigator should ensure that no other actual or potential witnesses, or - associated parties, are able to overhear or observe the interview. B. Interview Objectives -- Whether the first responder or an investigator is - conducting an interview, the person conducting the interview should set specific objectives for each interview based on any personal knowledge ofthe subject or any possible advance infomation that can be obtained about the subject's connection with the case. This includes: .. 1. Confinning the subject's presence on the scene when the suspected event occurred. 2. Confinning, or ruling out, a suspected motivation to suppress or distort . the facts of a case. 3. Identification of all others who were either present at the time of the event, or_had an opportunity to observe all or part of the events being investigated. 4. Learning about work records, demeanor, and behaviors of eyewitnesses. 5. Attempting to establish whether the suspect(s) had specific intent or . malice aforethought prior to engaging in any crjminal conduct. C. Conducting the Interview: The Opening -- Preliminary attitudes, formed in the first I few minutes of conversation, may have a significant impact regarding the degree of cooperation an investigator will receive. Investigators should create a positive . atmosphere throughout the intenriew. 1. The greeting should be cordial and sincere. An investigator is to identify him/herself by namelrank, unit. 2. All interviews shall be recorded in accordance with Policy 9.13, Digital - Recording of Interviews. Page 5 of 13 I . California Health and Human Services Agency Policy Number: - 9.9 Department of Developmental Services issue Date: June 1, 2012 Office of Protective Services Subject Criminal Investigative . - Procedures 3- The subject is to be asked to indicate their full name. . I 4 The Investigator should show an interest in the subject's personal concems, without allowing the subjects responses to significantly vary from the questions asked. 5. contact should be maintained throughout the interview. 6. The Investigator should avoid the use of legal or bureaucratic- . sounding language. 7. All applicable criminal and/or administrative admonishments should be read to the suspect(s). D. Conducting the Interview: The Discussion -- Two types of interview techniques are: free narrative, and direct examination. These techniques both have a place in the interview process: 1. Free narrative is the subjects description, in his or her words, of what occurred. a. An interview usually begins with the "free narrative" fonnat. ji b. The subject is given a basic frame of reference - including the i specific dates, times, and events of interest to the Investigator. c. The subject is asked to "te|l what happened' in his or her own words. - d. lnterruptiohs or questions by an Investigator are only to be made when necessary to keep the subject "on track", or to clarify major 2 details. 2. Direct examination is a series of specific questions which assist a subject in relating his or her account in an orderly, logical and complete - fashion. - a. Generally considered the most important technique in conducting an interview. - b. Utilizes the basic questions: who, what, when, where, how, why. c. The Investigator should never employ the use of "Ieading questions", or those which suggest a specific response. d. The Investigator must try to separate facts which a witness knows first-hand from conclusions or inferences the witness may mal