Report 2021-105 Recommendation 14 Responses

Report 2021-105: Law Enforcement Departments Have Not Adequately Guarded Against Biased Conduct (Release Date: April 2022)

Recommendation #14 To: Corrections and Rehabilitation, Department of

To proactively identify signs that officers may need additional training or supports to address possible biased behavior, CDCR should, by April 2023, adopt a policy and implement procedures that align with best practices for an effective early intervention system. The system should do the following:
- Track and incorporate data at the officer level related to complaints, uses of force, and other indicators as appropriate, and use these data to identify officers who could benefit from early intervention.
- Specify a range of early intervention options—such as trainings, mentoring or other supervisory approaches, mental health services, or reassignment—with guidance about how to apply them to the particular circumstances of each officer's conduct. The system should require prompt interventions that address the identified issues with or patterns in the officers' conduct, including conduct related to bias.
- Require monitoring of the officers who receive intervention to evaluate whether their performance improves or whether additional interventions are needed.

Annual Follow-Up Agency Response From October 2023

Recommendation: Track and incorporate data at the officer level related to complaints, uses of force, and other indicators as appropriate, and use these data to identify officers who could benefit from early intervention.

2023 Update: CDCR is launching individual-level alerts through the early warning system in October 2023. These monthly alerts will be sent directly to hiring authorities. Accusations of more egregious behavior in such areas as use of force, dishonesty, discrimination, retaliation, code of silence, integrity, and sexual misconduct will also be investigated by the Office of Internal Affairs.

Recommendation: Specify a range of early intervention options—such as trainings, mentoring or other supervisory approaches, mental health services, or reassignment—with guidance about how to apply them to the particular circumstances of each officer's conduct. The system should require prompt interventions that address the identified issues with or patterns in the officers' conduct, including conduct related to bias.

2023 Update: Training will commence January 2024.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

CDCR has indicated this recommendation is not fully implemented, but that it has implemented parts of the recommendation. CDCR provided documentation showing that the system can provide information to Wardens or their designees at the staff level, rather than just the institution level. However, CDCR lacks policies or procedures for how supervisors will use the system to identify officers who may need intervention, and the only intervention option related to bias that it has reported it has is one training scheduled to begin in 2024. We will consider the implementation to be fully implemented when CDCR demonstrates that it's early intervention system addresses all parts of the recommendation.

1-Year Agency Response

1-Year Update: Language added to the California State University-Sacramento (CSUS) and CPS HR Implicit Bias course Scope of Work; contract renewals are pending. Implicit Bias training will be provided to all staff, including custody and non-custody supervisors via the 2023 annual training schedule. This training will include the following:

- Tools to identify conduct or behaviors that may be indicative of biased conduct

- Elements of cultural intelligence.

This is on track for implementation by April 2023.

Proposed Action Plan: POSED Early Intervention Options shall include proactively training all officers regarding principled policing implicit and explicit biases, courses to address cultural intelligence, and diversity in the workplace. Supervisory and managerial training shall include tools to identify conduct or behaviors that may be indicative of biased conduct.

California State Auditor's Assessment of 1-Year Status: Pending

CDCR has indicated this recommendation is not fully implemented, but that it has implemented parts of the recommendation. However, the documentation that CDCR has provided indicates that there are key aspects of the recommendation that are absent from CDCR's early intervention system. For instance, CDCR's early intervention system appears to be institution based rather than officer based, meaning that it is not designed to identify indications of possible bias or other issues by individual officers. Additionally, only high level management has access to the system, and CDCR lacks policies or procedures for how supervisors will use the system to identify officers who may need intervention. We will consider the implementation to be fully implemented when CDCR demonstrates that it's early intervention system addresses all parts of the recommendation.

6-Month Agency Response

6-Month Update: The Department has implemented a dashboard-based staff misconduct early warning system (EWS) to allow for tracking of allegations at the earliest point possible. The EWS includes automated email alert functionality and provides monthly reporting for hiring authorities and other departmental executives to allow for intercessory actions to be taken to mitigate potential issues. Fully Implemented September 2022. Supporting documentation will be provided, per CSA's direction.

The Department will continue to provide existing training to supervisors and managers. We are working with partners to create and implement additional training on cultural intelligence and tools for identifying bias. We are on track for implementation by April 2023.

DAPO implemented Principled Policing training at the BPAA in 2019 for all new parole agents, and it completed statewide training for all existing parole agents from October through December 2020. In November 2021, DAPO implemented the FTP, which is an intervention method for newly appointed parole agent trainees, and existing parole agents when appropriate. Fully Implemented, November 2021. Supporting documentation will be provided, per CSA's direction.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

Bullet 1: OOR has created an early warning system that tracks allegations of staff misconduct that will allow hiring authorities the ability to identify officers who could potentially benefit from early intervention.

Bullet 2: POSED Early Intervention Options shall include proactively training all officers regarding principled policing implicit and explicit biases, courses to address cultural intelligence, and diversity in the workplace. Supervisory and managerial training shall include tools to identify conduct or behaviors that may be indicative of biased conduct.

Bullet 3: Training on hate crime recognition and investigation has been implemented at the Basic Parole Agent Academy. Refresher training will be provided for all agents, including during the Field Training Program (FTP).

Staff members whose conduct violates Department standards receive intervention training, such as referral to FTP for evaluation and monitoring. During FTP, daily evaluations will be documented on the FTP daily observation report to ensure the staff member has appropriately rectified their behavior to fall within Department standards.

DAI has already established a process that requires monitoring of staff that receive intervention as it relates to staff misconduct. They are monitored by their supervisor during the employee's performance evaluation process, and the supervisor provides counseling and training as needed. If continued intervention is necessary, progressive discipline will be utilized.

California State Auditor's Assessment of 60-Day Status: Pending

We look forward to reviewing CDCR's implementation of an early intervention system that addresses all of the key elements that we describe in the recommendation and in the text of our report.

All Recommendations in 2021-105

Agency responses received are posted verbatim.