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NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM PARTICIPANT GUIDE
Lexington, Kentucky 2016
Michael Ferjak, Darrel Crimmins, Denise DeForest, Amigo Wade
Adam Parfitt, Jodie Markey, Amanda Vance
The Council on Licensure, Enforcement & Regulation
Copyright © 2015 The Council on Licensure, Enforcement and Regulation (CLEAR). All Rights Reserved.
Table of Contents
Chapter 1: Welcome and Introduction 5
Chapter 2: Professional Conduct 15
Chapter 3: Principles of Administrative Law and the Regulatory Process 27Chapter 4: Investigative Process 43Chapter 5: Principles of Evidence 67Chapter 6: Evidence Collection, Tagging, and Storage 87Chapter 7: Interviewing Techniques 109Chapter 8: Overview of Inspection and Investigation Procedures 127Chapter 9: Report Writing 139Chapter 10: Testifying in Administrative Proceedings 163
THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Welcome and Introduction
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
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National Certified Investigator & Inspector Training Basic Program
Welcome & Introduction
Council on Licensure, Enforcement & Regulation
Background
CLEAR was conceived over 30 years ago as a resource for any entity or individual involved in the licensure, non-voluntary certification or registration
of the hundreds of regulated occupations and professions. Since its inception, CLEAR's
membership has included representatives of all governmental sectors, the private sector, and many
others with an interest in this field.
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Mission Statement
CLEAR is an association of individuals, agencies and organizations that comprise the international community of professional and occupational
regulation.
CLEAR is a dynamic forum for improving the quality and understanding of regulation in order to
enhance public protection.
Programs
CLEAR promotes regulatory excellence through:Conferences Educational programsNetworking opportunities PublicationsResearch services for those involved with, or affected
by, professional and occupational regulation
Programs
Four core areas of substantive inquiry that CLEAR supports through its annual conference and other venues: Compliance and disciplineTesting and examination issues Entry to practice issuesAdministration, legislation and policy.
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Education & Training
National Certified Investigator & Inspector Training Basic Program Specialized Program
CLEAR also offers training programs for:Regulatory leaders in executive positionsRegulatory board/council members
NCIT Basic Program
Course Expectations
You are a professionalThe “practice” of administrative/regulatory investigationThis course is designed as a basic program If you have expertise, please share! If you have questions, please ask!
The content is generic. Take what will work for you and leave what won’t.
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Curriculum
Session 1:Professional Conduct
Session 2:Principles of
Administrative Law
Session 3:Investigative Process
Session 4:Investigator Safety
Session 5:Principles of Evidence
Session 6:Evidence Collection, Tagging, and Storage
Session 7:Interviewing
Techniques
Session 8:Overview of
Inspections
Session 9:Report Writing
Session 10:Testifying in
Administrative & Criminal Proceedings
General Information
The use of any tobacco product (including e-cigarettes) is not permitted inside the buildingPlease place cell phones in silent modePlease do not use recording devices Location of facilitiesRestrooms Break areas Exits Smoking areas
General Information
If at any time you have concerns or questions regarding the program, please discuss them with any staff member.We want you to participate, share, learn and enjoy yourself while you are hereWe will provide refreshments during the morning and afternoon breaks
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Examination
At the end of this course there is an examPrior to the exam, we will review the materials that have been presentedThe format is multiple choiceYour instructors will ensure that everything on the exam is covered during the course
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THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Professional Conduct
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
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Professional Conduct
National Certified Investigator & Inspector Training Basic Program
I. Societal Expectations
IntegrityMature JudgmentFriendly and PersuasiveFirm
Self-Assured, ConfidentTolerance for StressRespectAttitudeAppearance andBearing
I. Societal Expectations
IntegrityUnbiased Conduct and
Actions Fairness
Mature Judgment Independent nature of
job requires goodjudgmentTrustHasty or emotional
decisions affect yourcredibility
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I. Societal Expectations
Friendly and Persuasive Public expects
friendliness Be professional and
caringOpen, sincere presence
FirmMake firm assessments
and decisions Lack of resolve opens
questions of confidence in findings or even bias
I. Societal Expectations
Self-Assured, Confident Supervisor expectations Societal expectations Be at ease in stressful
situationsReflect confidence in
yourself and your abilities
Tolerance for StressMaintain even
temperament despite external stressAvoid impatience and
emotional reactions Stress is inherent, learn
to manage it
I. Societal Expectations
RespectRespect must be earned
and retained by actions each day
AttitudeAttitude is what others
perceive it to be Stance, facial expression
and non-verbal communication express attitudeAvoid speaking ill of the
agency
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I. Societal Expectations
Appearance and Bearing Investigators are judged
based on their personal habits, appearance and demeanor as well as their skills
II. Rules of Professionalism
ValuesPersonal InvolvementSelf Concept
Preparation Expertise Aptitude
II. Rules of Professionalism
ValuesNever enforce personal
values on an investigation Investigators are
impartial and objective fact-finders
Personal InvolvementAvoid personal
involvement in a case as it can be perceived as biasMaintain professional
distance
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II. Rules of Professionalism
Self Concept Be aware of how you see
yourself and how that will lead others to see you
Preparation Professional
investigators invest due time and attention to the allegations and people in the investigationCareful analysis leads to
better investigations
II. Rules of Professionalism
ExpertiseKnow the subject matter
being questioned It’s okay to be a
generalist or specialist, just know which one you are!Get technical assistance
when needed
AptitudeDepartments should
have standards for professional investigators
III. Ethics and Conflicts of Interest
Ethics From the Greek Ethos, meaning “Character” Professional Codes of Ethics
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III. Ethics and Conflicts of Interest
Actions must comply with the ethical “package” of considerations:Compliance with relevant rules and policies Expectations of the workplace and regulatory
community Principles of morality Basic fairness
III. Ethics and Conflicts of Interest
Conflicts of InterestTypical situations that lead to Conflicts of Interest: Personal benefit/Self-dealingOutside employment Family interestsGifts and gratuitiesOther types of possible inappropriate conflicts
III. Ethics and Conflicts of Interest
The success of every aspect of the investigative process depends on the professional integrity of
the individual investigator.
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IV. Motivation
Catalyst for actionYou are a professional and must be self-motivatedMotivation is needed every day
Professional Conduct Summary (1 of 2)
The role of an investigator or inspector is always to be an unbiased fact finderYour attitude will be interpreted based on what others perceive it to beRespect must be earned every day
Professional Conduct Summary (2 of 2)
Ensure professional demeanor is communicated through facial expressions and bearingEthics are a set of principles of right conductConflicts of interest are an issue whether a conflict is real or simply perceived
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THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Principles of Administrative Law
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
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Principles of Administrative Law
National Certified Investigator/Inspector Training Basic Program
What is Administrative Law?
A branch of civil law that governs the administrative and adjudicative functions of government and related agencies, boards and tribunals
Functions of Administrative Law
Set forth administrative powersPrinciples for exercising administrative powersLegal remedies for aggrieved parties
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Hierarchy of Laws Relevant to Administrative Agencies
Constitution/CharterStatutes
RegulationsBylaws/Rules
Purpose of Administrative Agencies
Set standards and determine violations of standardsLicensing Dispensing grants/compensationPublic protection
History of Regulatory Bodies in Canada
Regulation is done by provinceStarted with the Law Society of Upper Canada in 1797Trend toward separation of regulatory bodies and professional associations
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Characteristics
Professional Regulatory Bodies are:Creatures of StatuteAccountable Independent
Composition:
Board/CouncilMembers/Registrants
Characteristics
What Regulatory Bodies do: Fulfill public interest mandateRegulate four main spheres Entry to practice Standards of practice Continuing education Enforcement
Benefits of Administrative Agencies
Flexibility Specialized or expert staff and adjudicators Responsive ExpeditiousMonitor on a continuous and ongoing basis
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Powers Of Administrative Agencies
• Rule-making
Legislative Power
• Enforcement
Executive Power
• Adjudication
Judicial Power
Limits On Administrative Agencies
Constitutional LimitsDivision of Federal and Provincial AuthorityThe Charter
Limits On Administrative Agencies
Fundamental JusticeFundamental Justice is a requirement of fair procedure, requiring:NoticeHearing
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Limits On Administrative Agencies
Legislative Limits Executive LimitsStatutory Procedural Codes and Court Imposed Requirements and Limitations
Judicially Imposed Procedural Rules –The Duty To Be Fair
Principle of Fairness
Judicially Imposed Procedural Rules –The Duty To Be Fair
Factors that determine the requirements of fairness:What is the nature of the decision being made
(individual or policy decision)What is the process (adversarial; multiparty,
investigatory) followed in making it?
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Judicially Imposed Procedural Rules –The Duty To Be Fair
Factors that determine the requirements of fairness: Is the action a final decision or a non-binding
recommendation?The statutorial role of the deciding
organization/tribunal. Is there a waiver of rights?
Judicially Imposed Procedural Rules –The Duty To Be Fair
Factors that determine the requirements of fairness:Does the case deal with an established right or is it
applying for a privilege?
Investigative Function
Unless statute law otherwise provides, limited rights are provided to person investigated where
the purpose of the investigation is to gather information upon which to decide to commence
formal proceedings.
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Investigative Function
If the result of the investigation is a binding recommendation, or there is no right to make
representations to the decision-maker, depending on the nature of the administrative decision, the person affected may have a right to participate more extensively in the investigative process.
Adjudication
Informal Resolutions:Negotiated SettlementConsent Orders
Formal Adjudication
Nature of Proceedings: “Civil” proceedings with their own set of rulesThe Rules of Evidence don’t apply but are often
followed to some extentHearsay evidence may be allowed but given limited
weight
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Adjudication
Basic Requirements of the ProceedingNoticeDisclosureDecision
Adjudication
Practical Issues / Problems Involved with Proceedings Extent of right to legal representation InterventionBias/ImpartialitySeparation of FunctionsRefusal of a request to cross-examine
Proof
Burden of ProofBurden of ProductionNon-SuitesStandard of Proof
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Appeals
Statutory RightScope of appeal as set out in the statute: Error of fact Error of law Error of a mixed fact and law
Remedies in the statute:Quash the tribunal decision Send the matter back to the tribunalAmend the tribunal's decision
Scope And Standard Of Judicial Review
Courts must always assure that the agency:Did not act contrary to constitutional rights, powers,
privileges or immunitiesActed within the scope of the statutory authority or
jurisdiction of the agencyObserved the statutory procedures of the agency or
procedures otherwise required by law
Scope And Standard Of Judicial Review
Courts must always assure that the agency:Reached a decision that is supported by the evidenceReached a decision that is reasonable or, in some
cases, correct
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Principles of Administrative Law Summary (1 of 4)
Administrative agencies exist because they can: handle issues with flexibility ease the case load for courts provide ongoing oversight
Regulatory organizations set standards for a profession and determine violations of those standards
Principles of Administrative Law Summary (2 of 4)
Fundamental justice requires notice and the right to a hearingStandards of judicial review include ensuring the action was within jurisdiction, supported by facts and done within proper statutory procedures
Principles of Administrative Law Summary (3 of 4)
One of the considerations for fair procedure is the seriousness of consequences for the individualA statute is enacted by a legislative body, not the professional body
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Principles of Administrative Law Summary (4 of 4)
Administrative organizations can establish rules and regulationsAdmin law: sets forth powers for professional bodies articulates principles for exercising those powers provides legal remedy for individuals aggrieved by the
professional body
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THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Investigative Process
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
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Investigative Process
I. Components of the Investigative Process
Intake Analysis Planning Execution
Definitions
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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)
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Intake of Complaints
II. Intake of Complaints- Sources of Complaints
Consumer
Other professional licenseesProfessional associations/societies
Other provincial organizations Internally generatedLaw enforcement agencies
Insurance companies
Media Anonymous
Consumer service organizationsHospitals
Lawyer Representing complainant
II. Intake of Complaints
Standard of Acceptance Jurisdiction Legal Sufficiency
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II. Intake of Complaints – Other Issues
Complaints Information Statutory RequirementsWrittenVerbal or Oral
Method of Receipt and ReviewCentralizedDe-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
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III. Complaint Analysis
The Intake Investigation
Peer ReviewExpert Assistance
Jurisdictional IssuesOverlapping Jurisdictions Levels of Jurisdiction
III. Complaint Analysis- Interagency Relations
Characteristics of Law Enforcement PersonnelCompetitiveCooperative Suspicious PersuasiveAssertive
III. Complaint Analysis- Interagency Relations
Behaviour of individuals Result of StimulusOfficials Play Roles Predictable
Interfacing with other organizations Seek bodies with similar jurisdictionsAvoid “Turf Battles”Avoid Criticism Positive Influences Remember the Goal: Cooperation
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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”
The “5 W’s TestWho
What
When
Where
Why
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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 InformationWitnesses Legal InstrumentsCollect 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.
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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 AssignmentsCostsGeographic Considerations Staff Training/Talent/Skill Levels Board Rules and Policy
V. Selection of Investigative Method
Field/Office
InspectionUse of Experts or Consultants
Undercover (covert) vs. Direct (overt)Other
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VI. Investigative Tools
Required Reports/Records
Physical Inspections/Inspection WarrantsSubpoena (Subpoena Duces Tecum)
Search Warrants Requires Probable Cause
Investigative HearingsDemand Letter Interviews
VII. Seven Basic Sources for Obtaining Investigative Information
Primary Source: Individual InvestigatorSecond: ComplainantThird: Respondent
Fourth: WitnessesFifth: Public Records
Sixth: Private RecordsSeventh: Physical/Electronic
VIII. Investigative Planning Resources
Investigative PlanNumber of Interviews RecordsUnusual CharacteristicsCovert vs. Overt Investigation Special Assistance
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VIII. Investigative Planning Resources
Personnel
Materials RequiredFinancial Resources
Execution
IX. Execution
Flexibility
Activity vs. ResultsProsecution Requirements
Board/Departmental PoliciesStatutory Mandates
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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. NoC. Unsure
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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 SituationsAwareness of SelfAwareness of OthersAwareness of Environment
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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
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X. Investigator Safety- Verbal De-escalation Techniques
Fight or FlightNatural instinct possessed by human beings This reliable instinct provides “danger radar” and should not be ignoredMust know how to read and react to potentially dangerous encounters
X. Investigator Safety- Verbal De-escalation Techniques
Using Verbal De-EscalationUse only in potentially violent
situations when NO WEAPON IS INVOLVED Reasoning with an enraged
person is NOT possibleDe-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 CalmUse low tone of voice Remove jewelry or scarves Remove religious or political symbols
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X. Investigator Safety- Verbal De-escalation Techniques
The Investigator/Inspector is in Control of Him/Her SelfDo 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 StanceNever turn your back Stay on the same eye levelAllow extra space between
yourself and the subjectDo not maintain constant eye
contact
X. Investigator Safety- Verbal De-escalation Techniques
The Physical StanceDo not point or make aggressive
gesturesDo not touch the person- for any
reasonKeep hands out of pockets
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X. Investigator Safety- Verbal De-escalation Techniques
The De-escalation DiscussionOnly goals is to reduce the level of arousalDo not raise your voice Respectfully answer informational questions, even if rudely askedDo 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 feelingsDo 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 appropriateGive consequences of inappropriate behaviour without threats Represent controls as institutional Trust your instincts
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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 formatsThe 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 complaintThe primary source of investigative information is the investigator
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THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Principles of Evidence
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
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National Certified Investigator & Inspector Training Basic Program
Principles of Evidence
Law of Evidence
Common Law
Statutory Code
Rules of Evidence
A system of rules of when, how and whether a piece of informationcan be used in a trial
According to statute most regulatory cases are not subject to strictrules of evidence, but the guidelines are, generally, still followed
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Why?
Consistency
ReliabilityFairness
Definitions
Evidence
ProbativeAdmissibility
Categories
Direct
Circumstantial
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Direct
Establishes fact in issue directly
Eyewitness
Circumstantial
Indirectly establishes a fact
Series of facts Reasonable inference
Forms
Real
TestimonialDemonstrative
Judicial Notice
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Real
Tangible ObjectsDocumentary Physical Scientific
Real Evidence - Issues
Best Evidence Rule
Authentication
Best Evidence Rule
To prove the contents of a writing, the most original document is best Applies to:Documents Recordings PhotographsCorrespondence
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Administrative Proceedings
Duplicate is allowable to the same extent as the original unless an issue is raised as to: (i) authenticity, or (ii) fairness
Authentication
The process of establishing at a trial or hearing that something is what you claim it to be.
Authentication
What requires authentication?
How do you authenticate an item? Testimony Personal KnowledgeDistinctive markings, chain of custody Stipulation
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Process of Authentication
Identify Source
Proof of SourceDocument Custody
Document ConditionPrepare Receipt
Testimonial
Lay
Expert
Testimonial - Lay
Presumed to be competent to testify
Personal knowledgeOath or affirmation
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Testimonial - Expert
Average person unable to make reasoned judgment
Competency to testify is not presumed; must be qualified
Frequently used in administrative cases
Testimonial Evidence
Credibility
Bias Interest
Hostility
Demonstrative
A representation or illustration intended to prove a material fact
Used to aid testimonial evidence so as to give it more weight and make it more understandable
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Judicial Notice
When a commonly known or easily ascertainable fact is recognized as being true without requiring formal proof (e.g., what day of the week a particular date falls upon).
Materiality
Has something substantive to do with an issue in the case
Relevancy
Logical relevance
Legal relevance
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Evidence Acts
Evidence Acts facilitate the use of evidence that would otherwise be excluded.
Admissibility of Evidence
The requirement that the evidence does not violate an exclusionary rule
Types of exclusionary rules: Policies related to truth-seeking Policy external to the administrative hearing
Privileges
Solicitor-Client
Public Policy Settlement
Public interestLitigation
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Prejudicial Evidence
Inflammatory
Public policy concerns Subsequent remedial measures
Similar acts
Prejudicial Evidence
Excessive/Confusing/Cumulative
Unfair surprisePhysical inconvenience
Indecency
Hearsay
Statement made outside of the trial or hearing that is offered in evidence to prove what was said is true
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Why is Hearsay Suspect?
No opportunity of cross-examine
Not under oath at the time statement was madeNot in courtroom or hearing room when the statement was made
Danger of inaccurate reporting
Exceptions
Reliable and necessary
Not offered to prove what is said is trueFormer testimony
AdmissionDeclarations against interest
Exceptions
Dying declarations
Business RecordsOfficial Records
Past Recollection RecordedRes Gestae
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Evidence in Administrative Cases
Rules of evidence do not apply, but are often followed to some extent
Hearsay is allowed but given limited weight and is usually not sufficient to support a finding on its own
Privileged communications are excluded
Standard of Proof
Balance of Probabilities
Sufficiency of Evidence
Burden of Proof
Assessing Credibility
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Assessing Credibility
Appearance or Demeanor
Ability to perceiveAbility to recall
MotivationProbability
Internal consistencyExternal consistency
Judicial Scrutiny
Challenge an agency actionAppeal provided by statuteApplication for Judicial Review
Degree of scrutinyDiscretion? Expertise?Witness credibility?Nature of ruling?
Principles of Evidence Summary (1 of 2)
The rules of evidence exist to ensure fairness, consistency and reliability
Evidence is classified as direct or circumstantialReal evidence includes objects that can been seen and felt
Most often, demonstrative evidence is used to support testimonial evidence
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Principles of Evidence Summary (2 of 2)
The best evidence rule states that the most original evidence is best
Authenticating evidence means proving that the information is what you claim it to bePrivileged evidence is excluded from administrative hearings
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THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Evidence Collection, Tagging
and Storage
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
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National Certified Investigator/Inspector TrainingSpecialized Program
Evidence Collection, Tagging and Storage
I. General
The investigator’s job is to collect and maintain all of the possibly relevant evidence to ensure that it is available and in proper condition if it is needed for a hearing
II. Obtaining Evidence
Planning Evidence Collection Identify possible sources Identify possible types/forms of evidenceAnticipate problems in obtaining evidenceAnticipate problems in maintaining evidenceOrganizational procedures
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II. Obtaining Evidence
Possible Sources Searches Behaviour Generated Evidence Surveillance/Undercover Operation Individuals, Business or GovernmentDatabases Scientific EvidenceDemonstrative EvidenceCommonly Forgotten Sources
II. Obtaining Evidence
Searches Legally authorized PlannedControlledMethodicalDetailedDocumented
II. Obtaining Evidence
Behavior Generated Evidence Putting yourself in the shoes of the alleged wrongdoer Reconstruction of the situation or event Pay close attention to what you touch, look at or would think could be used
to conceal your actions
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II. Obtaining Evidence
SurveillanceUndercover/covert vs. Overt Planning is criticalDuration- what is the objective?Use of electronics
II. Obtaining Evidence
Individuals, Business or GovernmentConsider who to interview and how they are related to the event Be aware of issues of credibility, hostility, bias and personal interestCollect written statements from witnesses whenever possible
II. Obtaining Evidence
Databases Increasing reliance on computers for data storage Technical assistance can be required to extract information Be aware of organizational policies related to electronic media and
communicationsMany policies are not keeping up with email and social media
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II. Obtaining Evidence
Scientific Evidence Laboratory samples and test
results Investigators must collect samples
in such a way that they can be tested and presented at hearing Ensure you have access to a lab
that can run the required tests
II. Obtaining Evidence
Demonstrative Evidence Evidence that supports testimony and makes facts more understandable –
i.e. photos, maps, recreations Photographs: One person photographing General to specific Record date and time Photograph everything Use measuring scale Consistent technique
II. Obtaining Evidence
Commonly Forgotten Sources Files, diaries, telephone bills, credit card purchases, evaluations, weather
service Security equipment or personnel Telephones and answering machines or servicesCalendars or appointment books
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II. Obtaining Evidence
Electronic Communications and Electronically Stored Records
Electronic Communications Electronic mail Text messaging Instant messaging Social media
II. Obtaining Evidence
Electronically Stored Records
Issues associated with electronically stored records Policies and procedures for paperless records Social media as an information sourceUsing social media in investigationsCharter Issues
II. Obtaining Evidence
Legislative Authority to Compel Production of Information and PrivacyAuthority to compel production Privacy Legislation Personal health information
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III. Maintaining Evidence
Preserving IdentityMarking Tagging Sealing and Labeling Identification
III. Maintaining Evidence
Preserving EvidenceAdequate Control Log access to the evidence Limit access as much as possible
Security Measures
III. Maintaining Evidence
Consequences of poor procedure or practiceUnavailable EvidenceUnauthenticated EvidenceDamaged Evidence
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III. Maintaining Evidence
Disposition of unneeded evidence Is the case closed?Other related cases Return evidence, if permitted
IV. Practical Exercises
Case Study 1Who will you want to interview? In what order? Do you anticipate any obstacles in obtaining statements from the
individuals you want to interview? Which interviewees and what obstacles? List the evidence you will want to retrieve (i.e., classification and form)Do you anticipate any problems in the collection and/or preservation of
evidence? Which pieces of evidence and what problems?What will you do today?
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Case Study # 1: Missing Narcotics
Scenario Brief
It is 10:00 a.m. on Monday. You receive a message from an intake officer in the Enforcement division
The Director of Nursing for Sunny Day Nursing Home, states that:
She has discovered four 50 mg vials of narcotics missing from the facility's narcotics cabinet.
A fifth vial, which appeared to have been tampered with, remained in the cabinet.
For the last two weeks they have suspected Paula Gethi, a registered nurse, and had been watching her
Approximately one week ago a used needle was found under a resident's bed.
The resident was under no physician's orders which required injection medicines at that time.
Additional Information:
Paula Gethi works on the 3:00 a.m. to 11:00 a.m. shift
Taking a controlled substance without proper prescription is a class three (3) misdemeanor
Punishable by up to six months in jail and a fine up to $1,000.
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Discussion Questions
Who will you want to interview? In what order?
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
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Do you anticipate any obstacles in obtaining statements from the individuals you want to interview? Which interviewees and what obstacles?
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List the evidence you will want to retrieve. Example: classification and form
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Do you anticipate any problems in the collection and/or preservation of evidence? Which pieces of evidence and what problems?
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What will you do today?
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Case Study # 2: Inferior Quality of Materials
Scenario Brief
Jane Doe contracted with Joe Builder to have a deck constructed at her home
for $2,000.
She alleges the Builder told her he would use Grade A lumber for the job
because it was of superior quality and less likely to warp after exposure to
water and other elements.
Doe contracted with Builder and the work was completed.
After approximately three months, she noticed that the boards on the deck
began to warp.
When she had her son look at the boards, he noticed that several of them
were stamped "Grade F" and had numerous knotholes indicative of poor
quality lumber.
Doe filed a complaint alleging that the contractor did not use the grade of
lumber he told her he would use.
Section 5.2.2 Prohibited Acts
Any contractor making any misrepresentation or a false promise of a
character likely to influence, persuade or induce shall be cause for
disciplinary action.
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Discussion Questions
What are the elements of a violation of Section 5.2.2?
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What evidence will you need? List the evidence and indicate the form (i.e., real, testimonial or demonstrative)
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Do you see any difficulties in proving or disproving any of the elements of the regulation?
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How will you go about collecting evidence of damage Doe suffered as a result of the contractor's actions?
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Evidence Collection, Tagging & Storage Summary (1 of 1)
Mark the identifying information directly on the piece of evidence
Poor evidence handling can lead to evidence being unavailable, unauthenticated or damaged
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THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Interviewing Techniques
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
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National Certified Investigator/Inspector Training Basic Program
Interviewing Techniques
I. Introduction
The importance of interviewing:“A conversation with a purpose”
I. Introduction
The two main goals of interviewing:Collect information free from bias Produce factual and accurate information
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II. Personal Attributes of the Successful Interviewer
Honesty, Integrity and Objectivity
Ability to Establish RapportListening
Evaluating Responses
Emotional Control
CuriositySpeech
Appearance, Bearing and Personal Habits
III. Human Relations and Interpersonal Skills
Professional
ApproachableRespectful
Sincere
IV. Definitions
Interview - An interview is the questioning of an individual believed to possess information or knowledge
Interrogation - An interrogation is the questioning of an individual believed to possess information or knowledge who is reluctant to make a full disclosure of information
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V. Planning and Preparing for the Interview
InterviewerAre you mentally and emotionally prepared for the interview?Does another investigator have more knowledge of the subject matter?Consider whether or not you are the right person to conduct the interview
V. Planning and Preparing for the Interview
LegalDo you have jurisdiction/authority to conduct the interview?Are there other issues (i.e. collective bargaining agreements) that dictate
interview circumstances?Do the allegations include criminal activity?
V. Planning and Preparing for the Interview
Background InformationDo you have as much information about the incident and players as
possible in advance?
FormsWhat forms or paperwork may be needed during the interview? – i.e.
affidavits
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V. Planning and Preparing for the Interview
Evidence-What will you need to document receipt of and properly maintain any
evidence provided during the interview?
QuestionsWhat questions will you need to ask during the interview?
V. Planning and Preparing for the Interview
Other PeopleDoes the interviewee require an attorney during the interview?What is the attorney’s role in the interview? Should the interviewee have a “support person” present? Is the interviewee entitled to a union representative present for the
interview?
V. Planning and Preparing for the Interview
Separate WitnessesWill there be multiple witnesses to the incident?How will you separate them appropriately to ensure the responses are as
accurate as possible?
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V. Planning and Preparing for the Interview
Notes and RecordingsWhenWho
Recording Devices Legal Issues Practical Issues
I<Clicker Question
Do you tape-record your interviews?
A. Yes
B. NoC. Sometimes
V. Planning and Preparing for the Interview
Time To IncidentOf Day Subject Interview
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V. Planning and Preparing for the Interview
Location PrivateNeutralMinimize Distractions Lighting Seating Type Placement
I<Clicker Question
How often do you conduct interviews over the telephone?
A. Always, we are limited to phone interviews only.
B. Sometimes, when it is more convenient than meeting in person.C. Rarely, only when an in person interview cannot be arranged.
D. Never.
VI. Telephone Interviewing
Advantages Reduce travel costs Save staff time Faster case turn-around “Surprise” calls prevent prepared
answers
DisadvantagesUnable to see non-verbal
behaviorsMore difficult to establish rapport Less control over the environment
and distractions
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VI. Telephone Interviewing
Similarities to In-Person Interviews Preparation is the most critical element Interviewer behaviors are the same Similar questioning techniques work Psychological stressors are also present during phone interviews
VI. Telephone Interviewing
DifferencesAllows for interviewer’s
shortcomings to be covered somewhatMust pay more attention to
precisely what is said in order to pick up on behavior cues
VII. Conducting the Interview- Introduction and Identification
Yourself
IntervieweeEstablish Rapport
Personal InformationName, DOB, SIN, Address,
Employer Name, Employer Address, Title, Telephone Numbers, Email Address
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VII. Conducting the Interview
Indirect Examination Listen Basic Interrogatives Vague, Misleading, Inconsistent Elements
*Note*- take general notes but also identify items that require follow-up
VII. Conducting the Interview
Direct Examination For clarification and detailQuestion from general to specific Repeat indirect and direct examination throughout the interview as
necessary
VII. Conducting the Interview- Concluding the Interview
Summarize and Verify
Additional InformationAdditional Leads
Releases, Statements and EvidenceRe-establish Rapport
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VIII. Body Language
Words
Nonverbal Message PostureGestures Eye Movement Facial Expressions
Physical Boundaries
IX. Questioning Tips and Techniques
Open Ended Questions- avoid questions that can be answered “yes” or “no”Simple/Clear Questions
One Question at a Time
IX. Questioning Tips and Techniques
Chronological Sequence- start questioning at the beginning of the incidence and work through to the end
Avoid Leading Questions Interrogatives- who, what, when, where , why and how
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IX. Questioning Tips and Techniques
Human Senses- ask questions that go to the subject’s dominant senses
Vague, Misleading, InconsistentCharging Words- avoid words like “lie,” “steal” and “violate”
Pause- sometimes the subject will fill the silence with information
IX. Questioning Tips and Techniques
Credibility
Probe Basic Probe Repeat Probe Echo Probe
X. Interview Contaminants
EnvironmentDistractions Privacy
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X. Interview Contaminants
Interviewer Behavior Body Language Speech PreparationQuestions Predeterminations Interview Control
XI. Interview Techniques
Numerous Witnesses Straightforward interrogatoryAvoid tunnel vision Look for indicators they may be more than just a witness
XI. Interview Techniques
MonologueMatter-of-fact delivery Presents the case information in a way that makes the subject assume you
already know everything about the situation
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XI. Interview Techniques
Theme Development Rationalization Projecting BlameMinimizing
Interviewing Techniques Summary (1 of 5)
Non-verbal communications most often reveal true, honest communication
Demonstrate unbiased and professional conduct to gather good information
The ability to establish and maintain rapport is an important skill for interviewers
Interviewing Techniques Summary (2 of 5)
Monitor your speech, demeanor and personal behavior
Let the subject know you seek only the truth by being honest, objective and acting with integrity In an interrogation, the interview subject is reluctant to share information of interest to the investigator
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Interviewing Techniques Summary (3 of 5)
Separate witnesses prior to interviewing
Note taking is allowed and encouragedEnsure the location selected for an interview is private, neutral and devoid of distractions
Always show the interviewee proper credentials
Interviewing Techniques Summary (4 of 5)
Providing information about what to expect from the process helps establish rapport
Ask simple, clear questions and provide enough time for the interviewee to respond
Always listen to an interviewee and do not form your next question while he/she is speaking
Interviewing Techniques Summary (5 of 5)
The goal of an interview is always complete disclosure of information
The theme development techniques includes minimization of the offence
Monologue is a questioning technique that uses a matter-of-fact delivery to make the subject believe the investigator has all of the facts
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THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Overview of Inspections
Procedures
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
Page 127 of 174
Page 128 of 174
National Certified Investigator/Inspector Training Basic Program
Overview of Inspections/Inspection Procedures
Darrel S. CrimminsBureau of Enforcement and Investigation, PA Dept of State
I<Clicker Question
Do you conduct inspections as a part of your job?
A. Yes
B. No
I. The Value of Inspections to Everyone
Public Protection
Addressing ComplaintsPotential Access to Facilities
Valuable Information SourceTool for Investigators
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II. The Purpose of Inspections
Protect the Health, Safety and Welfare of the public
III. The Role of the Inspector
Enforcer
Public RelationsEducator
IV. The Authority to Conduct Inspections
Established by Law
Established by Rule/Regulation Inspection Warrant
Implied ConsentHave No Authority
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V. Types of Inspections
HealthGrounds Premises Equipment Implements Refuse Disposal Personnel
“The Health and Safety Guy doesn’t look happy
– I hope we don’t fail the inspection.”
V. Types of Inspections
SafetyHazards Fire Equipment Fire Plans Electrical Dangers Protective gearCommunicationsHazardous materials
V. Types of Inspections
WelfareOperator License Requirements Services Samples Price PostingsAdvertisements License Display Financial Accountability
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VI. The Cause of an Inspection
Directed Inspections For Licensure Routine Re-inspectionComplaint ResponseClosure Probation Joint
Non-Directed Inspections Routine Re-inspection Announced Unannounced
Complaint ResponseClosure Probation Joint
VII. Inspection Prompting an Investigation
Professional Body Guidelines
Infractions vs. Violations Degree of Harm
Voluntary vs. ComplianceNotification
VIII. The Three Major Steps of the Inspection Process
Introduction and Initial ApproachDress AppropriatelyContact Appropriate Person Explain Purpose of Visit Establish RapportMaintain Control
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VIII. The Three Major Steps of the Inspection Process
Conducting the Inspection ProcedureCheck List Interference with Business
VIII. The Three Major Steps of the Inspection Process
Conducting the Inspection Results Pass Fail Out of Business Incomplete
Corrective Actions Verbal On Site Corrections Report Notation Written Citation Investigation Refer for Prosecution
VIII. The Three Major Steps of the Inspection Process
Exit InterviewContact Owner/Manager Explain Results Prepare for the Future Re-establish Rapport
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IX. Inspection Reports
Types of Reports
Purpose of ReportsDistribution of Report
X. How Technology Can Improve Inspections
Reduce Processing Time
SchedulesRecords History
Identify Problems
Overview of Inspections Summary (1 of 2)
Inspections are conducted for the health, safety and welfare of the public
The inspector is often the member’s only contact with the regulator, so he/she serves as the eyes and ears of the organization
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Overview of Inspections Summary (2 of 2)
Statutes or laws often provide professional bodies the authority to conduct inspections
The exit interview is the inspection step most often overlooked
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THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Report Writing
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
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Page 140 of 174
National Certified Investigator/Inspector Training Basic Program
Report Writing
I. Introduction
Reports are the compilation and representation of all your work as an investigator
There are several reasons reports are not always as effective as desired: Lack of report writing training Too many cases Laziness or rusty writing skills
I. Introduction
This session is designed to help redevelop your writing skills and make
your reports more accurate, logical, clear, concise and complete.
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II. Purpose of an Investigative Report
To communicate the factual information gathered during an
investigation
III. Three Goals of the Investigative Report
Factual and Objective Content
Grammatical StyleProfessional Appearance
III. Three Goals of the Investigative Report
Factual and Objective ContentAccurate LogicalClearConciseCompleteObjective
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III. Three Goals of the Investigative Report
Grammatical StyleActive vs. Passive Voice Active voice is preferred because it is clearer and more direct
Example: The intruder was questioned by the Officer at Gate 5B. (10 words) The Officer at Gate 5B questioned the intruder. (8 words)
III. Three Goals of the Investigative Report
Grammatical Style First Person vs. Third Person First person is preferred because it is direct, brief and flows better for the reader
Example: I saw the man strike the child. (7 words) This writer saw the man strike the child. (8 words)
III. Three Goals of the Investigative Report
Grammatical Style Specific vs. General Precise Word Choice
The Three Reasons for Correct Word Choice
Conclusive Words Descriptions
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Work Sheet #1: Word Usage
Instructions: Match the word with its correct usage.
1. Accept
a. To influence, used as a verb
2. Except b. To agree to, to believe as true or to receive
3. Affect
c. To put or place
4. Effect d. Means a chief or leading, as a noun it means leader or a sum of money
5. Lay
e. Means rule of conduct or a basic truth
6. Lie
f. Writing example
7. Principal
g. To leave out
8. Principle h. To accomplish or to bring to pass, the noun means result
9. Stationary
i. A verb that means to rest
10. Stationery
j. Fixed in one location
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Work Sheet #2: Plain English
Select the appropriate answer for each question.
Which of the following would be a simpler substitution for the word indicated?
A. Questioned
B. Said
C. Forgave
D. Displayed
Which of the following would be a simpler substitution for the word proceeded?
A. Went
B. Shared
C. Followed
D. Broke
Which of the following would be a simpler substitution for the word initiated?
A. Left
B. Ran
C. Pressed
D. Began
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I<Clicker Question
Which of the following would be a simpler substitution for the word: indicated?
A. Questioned
B. SaidC. Forgave
D. Displayed
I<Clicker Question
Which of the following would be a simpler substitution for the word: proceeded?
A. Went
B. SharedC. Followed
D. Broke
I<Clicker Question
Which of the following would be a simpler substitution for the word: initiated?
A. Left
B. RanC. Pressed
D. Began
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Work Sheet #3: Plain English
Read the five over-complicated sentences below. Identify the simplified saying from the sentence
1. It is impossible for one to adequately assess the worth of a volume merely by examining the outer cover.
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2. Aqueous fluids exhibiting non-agitated surfaces generally extend downward to a considerable depth.
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3. Individuals of similar propensities will tend to congregate in groups.
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4. Concrete mineral matter moving forward with a revolving motion fails to collect an accretion of bryophytic plants.
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5. An individual who vacillates when there is need of action will find himself or herself beyond the hope of future success.
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Work Sheet #4: Examples of Unclear Writing
These sentences were taken from actual letters received by a local welfare department in
application for support.
I am forwarding my marriage certificate and six children. I have seven, one died which was baptized on a half sheet of paper.
I am glad to report that my husband who is missing is dead.
I am forwarding my marriage certificate and my three children, one of which is a mistake as you can see.
In accordance with your instruction, I have given birth to twins in the enclosed envelope.
I am writing the Welfare Department to say that my baby was born two years old. When do I get my money?
Mrs. Jones has not had any clothes for a year and has been visited regularly by the clergy.
I cannot get sick pay. I have six children. Can you tell me why?
This is my eighth child. What are you going to do about it?
Please find for certain if my husband is dead. The man I am living with can't eat or do anything until he knows.
I am very annoyed to find you have branded my son illiterate. This is a dirty lie as I was married a week before he was born.
In answer to your letter, I have given birth to a boy weighing ten pounds. I hope this is satisfactory.
My husband got his project cut off two weeks ago, and I haven't had any relief since.
Unless I get my husband's money pretty soon, I will be forced to lead an immortal life.
I have no children as yet as my husband is a truck driver and works day and night.
I want money as quick as I can get it. I have been in bed with the doctor for two weeks and he doesn't do me any good. If things don't improve, I will have to send for another doctor.
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III. Three Goals of the Investigative Report
Grammatical Style Simple Writing Sentence Length Conjunctions Personal Pronouns Quotation Marks
Proofreading
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Work Sheet #5: Word Choice
Instructions: Write down the simpler term for each of the words/phrases provided below.
1. Indicated
2. Proceeded
3. Initiated
4. Observed
5. Verbalized
6. Instructed
7. Approximately
8. Related
9. Utilized
10. Maintained surveillance over
11. Advised
12. Contacted (Made contact with)
13. Terminated
14. Verbal altercation
15. State of continuance
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Work Sheet #6: Uncritical Inference Test
INSTRUCTIONS: This test is designed to determine your ability to think accurately and carefully. Review the instructions with extreme care.
1. You will read a brief story. Assume that all of the information presented in the story is definitely accurate and true. You may refer back to the story whenever you wish.
2. You will then read statements about the story. Answer them in numerical order.
DO NOT GO BACK to fill in answers or to change answers.
3. After you read each statement carefully, determine whether the statement is:
a. "T" - meaning: On the basis of the information presented in the story the statement is definitely true.
b. "F" - meaning: On the basis of the information presented in the story the statement is definitely false.
c. "?" - meaning: The statement MAY be true (or false) but on the basis of the information
presented in the story you cannot be definitely certain. 4. Indicate your answer by circling either "T" or "F" or "?" opposite the statement.
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I<Clicker Question
Is the following statement factual or nonfactual?
“Harris made a threatening gesture toward me.”
A. Factual
B. Nonfactual
I<Clicker Question
Is the following statement factual or nonfactual?
“The sun will rise tomorrow.”
A. Factual
B. Nonfactual
I<Clicker Question
Is the following statement factual or nonfactual?
“The tracks showed that the man making them had been carrying a heavy load.”
A. FactualB. Nonfactual
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III. Three Goals of the Investigative Report
Professional AppearanceOrganization or Format Introduction Body Closing
Chronological Sequence Paragraphs Timelines
IV. Timing of Completing the Report
The best way to ensure a report is as accurate and effective as possible is to
document the report information throughout the progression of the
investigation
V. Report Distribution and Disposition
Distribute, retain and destroy reports according to organizational policy
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Work Sheet #7: Factual Vs. Nonfactual
The writer of a report must determine the difference between a statement of fact and a statement that includes opinion.
Factual: may be verified Nonfactual: incorporates a conclusion on the part of the writer
1. "Five people were standing at the 5th street bus stop."
2. "The ashes and the cigarette butts in the ashtray showed that someone had been smoking in the room."
The second statement includes an inference about the unknown (someone smoking in the room) made on the basis of the known (ashes and butts in the ashtray). The factual statement would be that the ashtray contained ashes and cigarette butts.
Two types of statements are invariably inference and therefore nonfactual.
1. Attempts to designate the mental state of a person: "He was extremely nervous."
a. (Better to use: "The subject's hands trembled, eyes darted, mouth twitched, moved constantly in chair."
b. Mental states described as nervous, frightened, happy, angry are inferences based upon signs that we associate with a state of mind.
2. Statements about the future are an inference because no one can report as fact things that have
not yet happened. a. “I’ll see you tomorrow.”
Avoid writer's approval or disapproval
"The victim's beautiful face was destroyed by repeated stabbing with the rusty, ugly butcher knife." Destroyed may be inaccurate, and the writer's definition of beautiful and ugly are his/her opinion.
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Work Sheet #7: Factual Vs. Nonfactual (Continued)
INSTRUCTIONS: Label each of the following as F (factual) or NF (nonfactual).
1. Harris made a threatening gesture toward me.
2. The sun will rise tomorrow.
3. The tracks showed that the man making them had been carrying a heavy load.
4. Two plus two equals five.
5. Harris clenched his fist and shook it at me (Compare this to sentence #1)
6. Mr. Johnson said, “Harris made a threatening gesture toward me.”
7. The subject was hostile and uncooperative.
8. He was a skilled enough driver to have avoided the bridge abutment.
9. The suicide note clearly shows that he took his own life.
10. Asbury was in a state of ecstasy throughout the interrogation.
11. Asbury giggled, smiled and laughed throughout the interrogation
12. Six people were killed in a tragic accident at the railroad crossing located 3.2 miles south of the intersection of U.S. 46 and U.S. 51 in Becker County.
13. Martin was afraid of Robinson.
14. Mrs. Crosby must have been able to see the crossing freely since there was a full moon and there are no obstructions to a driver’s vision for 500 yards on either side of the crossing.
15. Martin refused to sit next to Robinson. (Compare to #13)
16. Mary C. Brent, age 42 years, resides at 415 Honeycut Lane with her famous daughter, Leslie A. Brent, age 18 years.
17. Thornton’s room looked as though a cyclone had ripped through it; all the dresser drawers and their contents had been thrown on the floor, papers were scattered throughout the room, articles of clothing were found in disarray on the floor, and most of the furniture had been overturned
18. Subject said, rather foolishly, that he had never had a drink in his life
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Story A
The only car parked in front of the brown house is a blue one. The word, “POLICE” is spelled in large letters across the door of the car.
Statements about Story A
1. The color of the car in front of the brown house is blue. T F ?
2. There is no lettering on the door of the blue car parked in front
of the brown house. T F ?
3. Someone is being arrested at the brown house. T F ?
4. Officer Jones lives in the brown house. T F ?
5. Someone named Jones lives in the brown house. T F ?
6. There is outgoing mail in the Jones' mail box. T F ?
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Story B
A businessman had just turned off the lights in the store, when a man appeared and demanded money. The owner opened a cash register. The contents of the cash register were scooped up and the man sped
away. A member of the police force was notified promptly.
Statements about Story B
1. A man appeared after the owner had turned off his store lights. T F ?
2. The robber was a man. T F ?
3. The man did not demand money. T F ?
4. The man who opened the cash register was the owner. T F ?
5. The store-owner scooped up the contents of the cash register
and ran away. T F ?
6. Someone opened a cash register. T F ?
7. After the man, who demanded the money, scooped up the
contents of the cash register, he ran away. T F ?
8. While the cash register contained money, the story does not
state how much. T F ?
9. The robber demanded money of the owner. T F ?
10. The robber opened the cash register. T F ?
11. After the store lights were turned off, a man appeared. T F ?
12. The robber did not take the money with him. T F ?
13. The robber did not demand money of the owner. T F ?
14. The owner opened a cash register. T F ?
15. The age of the store-owner was not revealed in the story. T F ?
16. Taking the contents of the cash register with him, the man ran
out of the store. T F ?
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Story B (Continued)
A businessman had just turned off the lights in the store, when a man appeared and demanded money. The owner opened a cash register. The contents of the cash register were scooped up and the man sped
away. A member of the police force was notified promptly.
Statements about Story B
17. The story concerns a series of events in which only three persons
are referred to: the owner of the store, a man who demanded
money and a member of the police force. T F ?
18. The following events were included in the story: someone
demanded money, a cash register was opened, its contents were
scooped up, and a man dashed out of the store. T F ?
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Report Writing Summary (1 of 3)
Reports must be objective and factual
The essential purpose of an investigative report is to be descriptiveThe logic of a report relies on how it is organized
Report Writing Summary (2 of 3)
Write reports throughout the course of the investigation as you gather information
Reports are most understandable when written in chronological sequence
Use concrete, specific words when writing reports
Report Writing Summary (3 of 3)
Avoid using too many conjunctions in a report
Format refers to the outline or design of the reportDestroy reports only in accordance with organizational policy
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Page 162 of 174
THE COUNCIL ON
LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Testifying in Administrative and
Criminal Proceedings
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
Page 163 of 174
Page 164 of 174
National Certified Investigator/Inspector Training Basic Program
Testifying in Administrative and Criminal Proceedings
I. Introduction
Lying under oath is a criminal offence
I. Introduction
Providing testimony is an important component of being a complete
investigator
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II. Providing Testimony is a Critical Component of Being a Professional Investigator
Testifying puts the investigator’s professional qualities under close scrutiny, including: Evidence Gathering Report Writing Past Case Work
III. When and Why do you Testify?
Examination for Discovery What is it?What does it entail? Takeaway Concept- not a “practice run” for hearings, you should prepare
just as much for the proceeding as you would for a hearing
III. When and Why do you Testify?
HearingsWhat are they? Roles of Key Participants Board Counsel Lawyer representing the licensee Presiding Officer
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III. When and Why do you Testify?
HearingsWhat will hearings entail? Direct or “Examination-in-Chief” Cross Examination Re-Examination
IV. Common Uses of Investigator Testimony
Main Witness, Summarizing Evidence
Challenge to other Witness CredibilitySpecific Exhibits or Investigative Results
V. How Do You Best Prepare for a Hearing?
Understanding your specific role in the hearing
Goal: Project Confidence without Overconfidence
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V. How Do You Best Prepare for a Hearing?
Goal: Be the most credible witness to testify Be Objective Be Impartial Tell the Truth
V. How Do You Best Prepare for a Hearing?
Preparing to Meet those Goals:Know the charges filedKnow the evidenceKnow the statements
Professional Dress and Demeanor
V. How Do You Best Prepare for a Hearing?
Evaluate Your Performance
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VI. What Creates the Best Witness Testimony?
Listening Skills: Listen to the question actually
asked Listen for ambiguity in the
question
Speaking Skills: Speak with precision Speak without undermining your
message
VI. What Creates the Best Witness Testimony?
Professional Attitude
Attention to DetailScrupulous Honesty
VI. Avoiding the Landmines of Testimony
Cross Examination as a truth finding tool
Do not take cross examination personallyDo not argue with the counsel
Think through answers before you speakStop when your answer is complete
Correct errors immediately
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Testifying in Administrative & Criminal Proceedings Summary (1 of 2)
Always think through answers before responding
Effective preparation for testimony includes thorough knowledge of the offenceTo display good courtroom demeanor demonstrate respect for all parties, provide clear and concise answers and ensure testimony is fair and impartial
Testifying in Administrative & Criminal Proceedings Summary (2 of 2)
Investigators are often called to testify in order to summarize the evidence collected
The ultimate goal of a hearing is to gather evidenceCorrect mistakes in testimony at the first available opportunity
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