Investigative Process National Certified Investigator Inspector Training Basic
Investigative Process National Certified Investigator & Inspector Training Basic Program Instructor Name Agency
Session Introduction
Learning Objectives § Upon completion of the session, you will be able to: § Identify and analyze the elements of the complaint process. § Identify the Standards of Acceptance, that is, legal sufficiency and jurisdictional tests, and be able to give a working definition of the terms. § Identify and select proper investigative methods
Learning Objectives § Upon completion of the session, you will be able to: § List and explain seven sources for obtaining information to implement an investigative plan. § Identify resources required to implement an investigative plan.
Session Map Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution
Definitions
Definitions Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § 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
Definitions Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Allegation § Violation § Inquiry § Jurisdiction
Definitions Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § 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
Source of Complaints Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning § Consumer § Other professional licensees § Professional associations/societies § Other state agencies § Internally generated § Law enforcement agencies Execution § Media § Insurance companies § Federal Agencies § Anonymous § Hospitals § Attorney Representing complainant
Standard of Acceptance Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Jurisdiction § Right and power to interpret and apply law § Legal Sufficiency § When facts as alleged are true constitute a violation of laws/rules
Other Issues in the Intake Process Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Complaints Information § Statutory Requirements § Written § Verbal or Oral § Method of Receipt and Review § Centralized § De-Centralized § Recording of Intake Information § Formal § Informal
Complaint Analysis
Complaint Analysis Definition Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution 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
Complaint Analysis Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § The Intake Investigation § Peer Review § Expert Assistance § Jurisdictional Issues § Overlapping Jurisdictions § Levels of Jurisdiction
Intake Investigation Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Investigator must possess working knowledge of all applicable laws § Area of jurisdiction and legal sufficiency may be furthered to higher levels of law
Intake Investigation Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Once complaint has met the Standards of Acceptance in analysis stage other actions are appropriate for consideration § Spheres of activity investigator may face include: § Interface with criminal arena § Civil law proceedings § Cooperation by all regulatory agencies and law enforcement
Peer Review Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Allows investigators to: § Qualify further allegations § Quantify necessary elements of the violation § Often necessary step of analysis depending on applicable laws of the state
Expert Assistance Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Use of experts must be considered in review stage of complaint process § Experts often become witnesses in the investigation and litigation stage of the complaint process
Jurisdictional Issues Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Investigators will face overlapping jurisdictional issues § In complaint analysis stage § In investigation stage
Jurisdictional Issues Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Levels of Jurisdiction § Proper identification of appropriate level is key § Working cooperation and shared resources helpful § Investigator should maintain communication with appropriate officials/agents
Interagency Relations Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning § Characteristics of Law Enforcement Personnel § Competitive § Cooperative § Suspicious § Persuasive § Assertive Execution
Interagency Relations Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Behavior of Individuals § Result of Stimulus § Officials Play Roles § Predictable
Interagency Relations Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Interfacing with Agencies § Seek agencies with similar jurisdictions § Avoid “Turf Battles” § Avoid Criticism § Positive Influences § Remember the Goal: Cooperation
Investigative Planning
Investigative Planning Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Actual role, and how you assume the role are most important to investigative plan § Investigator is not generally a: § Law enforcement officer § Federal or criminal agent or member of the FBI § Role of the Investigator § Proper Review of Complaint § Powers and Authority
The Investigative Plan Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning § Format § Ask all of the important questions § Time is of the essence Execution Who How What Questions to Ask Why Where When
Case Development Questions Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § What are the allegations? § What law or regulations may have been violated? § Administrative § Judicial § State/Federal § What evidence will be needed to support the allegations? § Testimony § Physical § Documentary § Other
Case Development Issues Directly Related to Complaint Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Elements § Sources of Information § Witnesses § Legal Instruments § Collect and Maintain Evidence § Experts § Problems
Sample Statutes Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution 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 Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution Failing to provide expedient, reliable and dependable services when requested by a client or a client’s guardian.
Case Development Issues Indirectly Related to Complaint Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Priority Assignments § Costs § Geographic Considerations § Staff Training/Talent/Skill Levels § Board Rules and Policy
Selection of Investigative Method Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning § Field/Central Office § Inspection § Use of Experts or Consultants § Undercover (covert) vs. Direct (overt) Execution
Required Reports and Records Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Almost all agencies have the power to require records § Fourth amendment does not protect against report requirements § Required records not protected by fifth amendment
Physical Inspections/Inspection Warrants Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Primary function of administrative inspection § Must not violate fourth amendment § Warrantless searches permissible in industries subject to licensing and intensive regulation
Subpoenas and Search Warrants Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Subpoena (Subpoena Duces Tecum) § Official command has coercive effect § 5 th Amendment self incrimination conflicts § Search Warrants § Requires Probable Cause § Not often used in administrative cases
Hearings, Demand Letters and Interviews Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Investigative Hearings § Used to further investigation and gather evidence § Known as informal fact-finding § Used to explore possible violations § Demand Letter § Issued to suspect or witness § Outlines info requested and steps to be taken § Interviews
Seven Basic Sources for Obtaining Investigative Information
Individual Investigator Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Has files that contain best source of information § Knowledgeable of past investigations § Access to other agency investigators, staff and records § Records of other regulatory or law enforcement agencies
Complainant Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Provides the needed information that becomes the foundation of the investigations § Identifies others involved who have knowledge of the incident
Respondent Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Subject of investigation provides response to aggrieved party’s allegations § Obtain copies of documents and records that substantiate the complaint § Identify others who have knowledge of incident
Witnesses Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § May add credibility to the complaint or refute allegations § Obtain documents and records in their possession pertinent to the compliant § Be aware of the relationships between witnesses and primaries
Public Records Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Provide independent information to verify or refute complaints § Provide leads for further interviews § Furnish legal basis for obtaining a subpoena
Private Records Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Third party records that reflect what should be in the respondent’s records § Third parties may be free to disclose own records § However a subpoena is required if the relationship between the third party and the respondent is sensitive
Physical and Electronic Evidence Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Scene/premise searches § Behavior generated evidence § Surveillance/undercover operation § Individuals, business or government § Databases (subject to privacy rights) § Scientific Evidence i. e. lab samples, test results § Demonstrative evidence § Commonly forgotten sources
Investigative Plan Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Number of Interviews § Records § Unusual Characteristics § Covert vs. Overt Investigation § Special Assistance
Investigative Planning Resources Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning § Personnel § Materials Required § Financial Resources Execution
Execution
Execution of the Plan Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Flexibility § Must maintain flexibility in the planning process § Ability to shift emphasis or redirect investigations critical § Circumstances can change, requiring a change in planning § Activity vs. Results § Generally, investigators are activity-based § Management by Objectives (MBO) § Provides user with direction to reach a goal/objective
Execution of the Plan Investigative Process Definitions Intake of Complaints Complaint Analysis Investigative Planning Execution § Prosecution Requirements § Relationship between investigator and prosecutor is important for the success of the investigation § Prosecutor’s requirements are a standard part of the working relationship § Burden of Proof § Board/Departmental Policies § Statutory Mandates
Session Review
Knowledge Check The major components of the investigative process include intake, complaint analysis, investigative planning and. A. Referral B. Records C. Execution
Knowledge Check The information that provides the foundation for an investigation comes from: A. B. C. D. The individual investigator The respondent’s records or interview The complaint Third party records
Knowledge Check The primary source of investigative information is the: A. Investigator B. Respondent C. Complainant
Knowledge Check In order to develop the information necessary to prove a case, the investigator/inspector must know the law or regulation that has allegedly been violated and: A. Interview at least two experts on the matter B. Show the elements of the law or regulation allegedly violated C. Create a timeline of all events related to the case
Learning Objectives Review § You should now be able to: § Identify and analyze the elements of the complaint process. § Identify the Standards of Acceptance, that is, legal sufficiency and jurisdictional tests, and be able to give a working definition of the terms. § Identify and select proper investigative methods
Learning Objectives Review § You should now be able to: § List and explain seven sources for obtaining information to implement an investigative plan. § Identify resources required to implement an investigative plan.
Questions
Session Evaluation
In general, this instructor: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent
The style of delivery: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent
The content: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent
The amount of material covered: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent
The usefulness of this session: A. Is Unacceptable B. Needs Improvement C. Is Good D. Is Very Good E. Is Excellent
- Slides: 65