The Main Stages of an Effective Investigation

FCO ConferenceJanuary 23, 2012

Toronto

Formal Review

An independent fact gathering exercise to determine the merits of the complaint and if there are ground to make recommendations to a government agency.

Administrative Fairness Review

An independent and duly authorized inquiry or detailed examination of an issue or issues, the purpose of which is to determine the validity of the matter under review and potentially offer resolution through recommendation.

Attributes…

• Independent- the review body and the reviewer are independent from the matter under review, the subject(s) of the review and the complainant

• Duly authorized-the review body and the reviewer have the authority to conduct and complete the review and offer resolution

• Resolution-problem solving and not fault finding• Recommendation-the review does not impose

decisions but offers resolution through recommendation

Investigations can be…

• Resource heavy• Time consuming• Impact credibility

But may not be the bulk of your work….

2010 Statistics

Top Complaint AreasSocial Services 746

Corrections

SGI

WCB

Justice

Health*

484

225

112

105

141

*Ministry of Health, Health Regions and Sask. Cancer Agency combined

Complaints Within Jurisdiction 2,130Complaints Outside Jurisdiction 1,013

Service Method

• 60% were resolved at intake

• 25% were resolved at early resolution

• 15% were move to formal reviews

Types of Investigations

• Evidence-focussed -inquires which seek to pursue all lines of inquiry in a way that will meet all legal and procedural requirements particularly when the outcome is adverse in interests to the parties involved.

• Problem-focussed -“primarily directed at quick” identification and resolution. These reviews may include some evidence-focussed techniques but they seek to only obtain sufficient information for a fair and informal judgement to be made about the issues in question particularly where those issues relate to policies, procedures and or practices.

Source: NSW Ombudsman

Early Resolution

• Within jurisdiction• Initiated by a complaint• Single issue• Time limited (3-6 contacts completed with

30 days)• Directed at the quick identification of the

problem and potential resolution • Obtains only sufficient information from

the parties to allow for a fair and informed assessment of the issues.

Formal Reviews

• Within jurisdiction • Complaint initiated or own motion• Notification required• Involves multiple and complex issues• The complaint is of a serious and or significant

nature • There is no clearly indentified solution • Involves a matter where the government agency

has consistently failed to address issue • Involves issues that are in the public interest • Can generate recommendations

An Investigation may not be appropriate…

• The complaint is too old• Your mandate or operational policy

provides time limits• The issues would be better dealt with by

another competent oversight body• There are other appeal or review

mechanisms available • There is an alternative means of redress or

dispute resolution

Type will depend on…..

• the nature and seriousness of the complaint• any statutory requirements or procedural

obligations outlining the type of investigation required

• the likely outcome of your review• based on the outcome whether or not

recommendations will be generated• The historical involvement your office may

have had in the past with an issue

Investigative process involves

“collecting, processing, reporting, storing, recording, analysing, evaluating, producing and disseminating authorized information”

Source: Oxford Dictionary US Military

Six Stages of an Investigation

1. Case Assessment and Issue Identification2. Developing an Investigation Plan3. Interviewing4. Gathering documents and other relevant

information 5. Analysing the information6. Report writing

Proper Issue Identification will…

• Ensure all the relevant issues are identified

• Avoid Issue Creep• Avoid Mandate Creep• Keep the investigation moving forward

Issues Must Be…

• Relevant• Clear and Concise• Addressed in the analysis• Reported out on

Stage One

Case Assessment and Issue Identification

Tasks

Clear identification of the issues to be reviewed

Assess the information Clearly identify the investigative

issues Identify when investigations should

be concluded at the assessment stage

Identify situations appropriate for alternative review processes

Refer matter, if appropriate, to alternative oversight review

Identify situations where alternative dispute resolution service methods are more appropriate

Refer for ADR or provide ADR

Three Sides of Fairness

Stage Two

Building an investigative plan Tasks

Develop your investigation/review strategy

Determine the level of formality of the investigation

Provide Notification to the parties (if required) Conduct research to gain subject matter

knowledge Identify objective criterion you will use to assess

facts Identify persons to be interviewed, documents to

request Determine if you need additional advice or

subject matter expertise Identify resources you require to carry out the

investigation Prioritize tasks Organize tasks Set realistic time frames Determine who is to get feedback, how, and what

type of feedback Revisit the plan as necessary (reassess plan—

ongoing)

Why Investigations Fail

More Investigations suffer in terms of quality

because of poor investigative planning

(NSW Ombudsman)

Good Planning helps to…

• Establish an overall approach and focus• Indentify all relevant issues, including any

systematic issues• Identify all sources of information and ensures all

relevant information is gathered and considered• Identify any problems or concerns and outlines a

strategy to deal with them• Identify the necessary resources • Ensure resources are used efficiently • Assist in timeliness

Plans should be…

• Written prior to beginning inquiries• Written in a logical and clear format• Detailed• Flexible• Transferable if required

Stage Three

Interviewing Tasks

Identifying who was involved and or who can provide information and assistance to your review

Determine who you will interview, how (by phone, in person, email questionnaire or other methods), when, and where and what they can tell you

Determine if you need to speak to subject matter experts

Develop an interview schedule Develop interview questions prior to

the interview—interviews should follow a logical format, allowing the information to flow forward within the structure of the interview

Determine how information will be recorded or documented (interview schedule, statements, etc.)

Who do I interview?

• Those who may have relevant information about the issue under review

• The goal of interviewing is to gather sufficient and credible information that will allow you to “assess the merits of the issue in conjunction with other sources of evidence”

Source: Ombudsman Ontario

Interview Schedule

Person Position CAN SAY Date to be interviewed

Method of interview

Mary Smith complainant • Was cut off SAP

• Filed appeal at RAC/SSAB

• Lost appeal

June 1, 2011 In person

• List who you will speak to, their position, how they are connect to the complaint/issue, in what order you plan to interview, what they may be able to tell you and the method of interview

Person Interviewed

Person Position Date interviewed

Method of interview

Mary Smith complainant June 1, 2011 In person

Method Of Interviews

• In Person• Telephone• E Mail• Questionnaire• Video Conferencing

Method will depend on…

• Seriousness of allegation• How close the person was or is to issue

under review• If the person was a decision maker or in a

decision making capacity• Any vulnerability issues• Language barriers• Cultural considerations• Cost and time

Interviews Questions…

• Open Ended• Simple (single concepts)• Concise • Non accusatorial• Offered in a logical format

Support Persons

• Deal with it before the interview • Inform the interviewee when arranging for

the interview if a support person can or cannot be present

• If one can be present the role of the support person in the interview (support only)

Support Persons

• When you begin the interview– reaffirm with the individual that they have

requested a support person to be present and why (if known)

– ask if they still want the support person present (often they will say no its ok…they simply needed support to get through the door of the interview)

– clearly identify to the support person prior to beginning their interview your expectations

– invite them to ask questions but only at the end of the interview

Gathering Information

Gathering information and reviewing information obtained (evidence)

Tasks

Identifying and obtaining the necessary information

Review past cases within your own organization-has your organization dealt with similar case if so what was the outcome and determine if recommendations were made

Determine what documents and information you need and how you will access the information

Obtain relevant documents and information

Determine how you will organize documents and information through a document schedule or other form of record keeping

Inspect and gather physical evidence Summarize document/ information Indentify gaps in information Address gaps

Relevancy

• Does the information directly and clearly relate to the issue under review?

• Is the information of substantive importance to the issue under review?

• Are the information and the source of the information competent and credible?

Managing the paper

Name of doc Type/Summary Author/position

Date Requested Method retrieved/date received

• Develop a document schedule– To manage– To organize– To retrieve

Analysing the information

Analyzing information Tasks

Reaching a conclusion Determine the objective test/guide you

will use Use the objective test/guide to assess the

facts against the objective criterion/guide-(legislation, regulations, policies, best practices, administrative fairness principles)

Weigh the evidence/information Link the facts to the information Draw conclusions based on the evidence

as assessed through the objective standard

Report Writing

Report Writing Tasks

Report writing Determine your report format Organize your information Summarize the information in the

prescribed format Write the report in a concise

manner using plain language and avoiding jargon

Review final report for bias and remove any offending sections, sentence or phrases.