Investigative Process I Components of the Investigative Process

Investigative Process

I. Components of the Investigative Process Intake Analysis Planning Executio n

Definitions

II. Intake of Complaints- Definitions § Complaint- An expression of pain, dissatisfaction, resentment, discontent or grief § Complaint (legal)- The presentation by the plaintiff in a civil action, setting forth the claim on which relief is sought, i. e. Administrative complaint

II. Intake of Complaints- Definitions § Allegation § Violation § Inquiry § Jurisdiction

II. Intake of Complaints- Definitions § Legally Sufficient Complaint- A complaint is legally sufficient if the facts as alleged, if shown to be true, would constitute a violation of applicable law(s) or rule(s)

Intake of Complaints

II. Intake of Complaints- Sources of Complaints § Consumer § Other professional licensees § Professional associations/societies § Other provincial organizations § Internally generated § Law enforcement agencies § Insurance companies § Media § Anonymous § Consumer service organizations § Hospitals § Lawyer Representing complainant

II. Intake of Complaints § Standard of Acceptance § Jurisdiction § Legal Sufficiency

II. Intake of Complaints – Other Issues § Complaints Information § Statutory Requirements § Written § Verbal or Oral § Method of Receipt and Review § Centralized § De-Centralized § Recording of Intake Information § Formal § Informal

Complaint Analysis

III. Complaint Analysis § Definition: The process by which raw complaint information, in the form of verbal and written statements and documents, is applied to statutory and regulatory guidelines and mandates

III. Complaint Analysis § The Intake Investigation § Peer Review § Expert Assistance § Jurisdictional Issues § Overlapping Jurisdictions § Levels of Jurisdiction

III. Complaint Analysis- Interagency Relations § Characteristics of Law Enforcement Personnel § Competitive § Cooperative § Suspicious § Persuasive § Assertive

III. Complaint Analysis- Interagency Relations § Behaviour of individuals § Result of Stimulus § Officials Play Roles § Predictable § Interfacing with other organizations § Seek bodies with similar jurisdictions § Avoid “Turf Battles” § Avoid Criticism § Positive Influences § Remember the Goal: Cooperation

Investigative Planning

IV. Investigative Planning § Role of the Investigator § Proper Review of Complaint § Powers and Authority

IV. Investigative Planning § The Investigative Plan § Format § The “ 5 W’s Test” Why What Who The “ 5 W’s Test When Where

IV. Investigative Planning § Case Development Questions: § What are the allegations? § What law or regulations may have been violated? § What evidence will be needed to support the allegations?

IV. Investigative Planning § Case Development Issues Directly Related to the Complaint § Elements § Sources of Information § Witnesses § Legal Instruments § Collect and Maintain Evidence § Experts § Problems

Sample Statutes § Failing to act as a licensee in such a manner as to safeguard the interest of the public, or otherwise engaging in improper, fraudulent, or dishonest conduct.

Sample Statutes § Failing to provide expedient, reliable and dependable services when requested by a client or a client’s guardian.

IV. Investigative Planning § Case Development Issues Indirectly Related to the Complaint § Priority Assignments § Costs § Geographic Considerations § Staff Training/Talent/Skill Levels § Board Rules and Policy

V. Selection of Investigative Method § Field/Office § Inspection § Use of Experts or Consultants § Undercover (covert) vs. Direct (overt) § Other

VI. Investigative Tools § Required Reports/Records § Physical Inspections/Inspection Warrants § Subpoena (Subpoena Duces Tecum) § Search Warrants § Requires Probable Cause § Investigative Hearings § Demand Letter § Interviews

VII. Seven Basic Sources for Obtaining Investigative Information § Primary Source: Individual Investigator § Second: Complainant § Third: Respondent § Fourth: Witnesses § Fifth: Public Records § Sixth: Private Records § Seventh: Physical/Electronic

VIII. Investigative Planning Resources § Investigative Plan § Number of Interviews § Records § Unusual Characteristics § Covert vs. Overt Investigation § Special Assistance

VIII. Investigative Planning Resources § Personnel § Materials Required § Financial Resources

Execution

IX. Execution § Flexibility § Activity vs. Results § Prosecution Requirements § Board/Departmental Policies § Statutory Mandates

Investigator Safety

X. Investigator Safety – I<Clicker Question Have you ever walked into an interview/inspection and noticed a weapon on the premises? A. Yes B. No

X. Investigator Safety – I<Clicker Question Are you permitted to bring law enforcement support along on investigations, interviews, or inspections? A. Yes B. No C. Unsure

X. Investigator Safety – I<Clicker Question Have you ever gone to a subject’s home or location selected by a subject for an interview and not told anyone where you were going? A. Yes B. No

X. Investigator Safety – I<Clicker Question Have you ever had an internal ‘bad feeling’ about an investigation/inspection/interview and done it anyway? A. Yes B. No

X. Investigator Safety § The Investigator § Potentially Confrontational or Threatening Situations § Awareness of Self § Awareness of Others § Awareness of Environment

X. Investigator Safety- Verbal De-escalation Techniques § Dealing with Human Beings § We never know how people will respond in a given situation § Behaviour is controlled by logic and reason – to a point § Being the subject of an investigation may send some people into “survival” mode

X. Investigator Safety- Verbal De-escalation Techniques § Fight or Flight § Natural instinct possessed by human beings § This reliable instinct provides “danger radar” and should not be ignored § Must know how to read and react to potentially dangerous encounters

X. Investigator Safety- Verbal De-escalation Techniques § Using Verbal De-Escalation § Use only in potentially violent situations when NO WEAPON IS INVOLVED § Reasoning with an enraged person is NOT possible § De-Escalation techniques are counter-intuitive and must be practiced before they are needed

X. Investigator Safety- Verbal De-escalation Techniques § The Investigator/Inspector is in Control of Him/Her Self § Appear Calm § Use low tone of voice § Remove jewelry or scarves § Remove religious or political symbols

X. Investigator Safety- Verbal De-escalation Techniques § The Investigator/Inspector is in Control of Him/Her Self § Do not be defensive § Be aware of options for back-up § Be respectful while firmly setting limits § Treat the subject with respect

X. Investigator Safety- Verbal De-escalation Techniques § The Physical Stance § Never turn your back § Stay on the same eye level § Allow extra space between yourself and the subject § Do not maintain constant eye contact

X. Investigator Safety- Verbal De-escalation Techniques § The Physical Stance § Do not point or make aggressive gestures § Do not touch the person- for any reason § Keep hands out of pockets

X. Investigator Safety- Verbal De-escalation Techniques § The De-escalation Discussion § Only goals is to reduce the level of arousal § Do not raise your voice § Respectfully answer informational questions, even if rudely asked § Do not answer abusive questions

X. Investigator Safety- Verbal De-escalation Techniques § The De-escalation Discussion § Explain limits and give choices where possible § Do not solicit or analyze feelings § Do not argue or try to convince § Encourage the subject to think cognitively

X. Investigator Safety- Verbal De-escalation Techniques § The De-escalation Discussion § Suggest alternative behaviours, where appropriate § Give consequences of inappropriate behaviour without threats § Represent controls as institutional § Trust your instincts

Investigative Process Review Questions

Review Question 1 Because of specialization in practice areas, investigations often require: A. The use of experts/consultants. B. The inclusion of the respondent’s professional opinion. C. Public input.

Review Question 2 A standardized document on which elements of the complaint are listed and tracked is known as: A. B. C. D. Complaint documentation. An investigative collection. A centralized collection process. Organizational process.

Review Question 3 The correct order of the main components of the investigative process is: A. B. C. D. Intake, Planning, Execution, Analysis. Intake, Analysis, Planning, Execution, Intake, Analysis, Intake, Planning, Execution.

Review Question 4 Which of the following is NOT one of the seven basic sources of investigative information? A. B. C. D. The The Investigator Respondent’s Spouse Respondent Complainant

Review Question 5 The A. B. C. D. is the primary source of investigative information. Investigator Respondent Complainant Professional body

Investigative Process Summary (1 of 3) § A complaint is an expression of pain, grief or dissatisfaction § Most organizations accept complaints in either written or oral formats § The centralized collection process includes a standard document on which all elements of a complaint are listed and tracked

Investigative Process Summary (2 of 3) § Financial considerations, personnel requirements and equipment needs should all be considered when developing an investigative plan § Identify the elements of the law or regulation in order to develop sufficient information to prove a case

Investigative Process Summary (3 of 3) § Use experts to gain knowledge in specified practice areas § The complainant provides the information that forms the foundation of the complaint § The primary source of investigative information is the investigator

NCIT Basic Evaluations Investigative Process

In general, this instructor: A. B. C. D. E. Unacceptable Needs to Improve Is Good Is Very Good Excellent

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