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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)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 3 Course At‐a‐Glance 4 Professional Conduct 5
Course At‐a‐Glance
Goals Upon completion of the session, you will be able to:
Explain common expectations of investigators by citizens and supervisors
Describe the effects of aptitude and attitude on perceived professionalism
Describe how appearance, bearing and personal values effect professionalism
Describe how ethical considerations and avoiding conflicts of interest maintains a high level of professionalism
Explain a professional approach to: o Gaining respect o Following procedures o Maintaining a high level of motivation
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome and Introductions Slide 1
10 Minutes Session Introduction Slides 2 – 6
20 Minutes Societal Expectations Slides 7 – 17
20 Minutes Rules of Professionalism Slides 18 – 21
20 Minutes Ethics & Conflicts of Interest Slides 22 – 35
05 Minutes Motivation Slides 36 – 37
10 Minutes Session Review Slides 38 – 47
Lesson 1: Societal Expectations
Integrity
A good reputation is earned through:Honesty Proper conductAbove-board activities
Unbiased Conduct and ActionsFairnessCompromise of integrity places entire case at risk
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Mature Judgment
Independent nature of job requires good judgmentTrustHasty or emotional decisions affect your credibility
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Friendly and Persuasive
Public expects friendlinessBe professional and caring vs cold and uncaring Open, sincere presence Decreases tension and fearContributes to effective interviews Establishes good relationships under severe circumstances
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Firm
Carefully protect the rights and privilege of society Firm does not equal stubbornAbsence of resolve seen as lack of conviction or trust in findings
Make firm assessments and decisions
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Self-Assured, Confident
Supervisor expectationsSocietal expectationsBe at ease in stressful situationsReflect confidence in yourself and your abilities
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Tolerance for Stress
Maintain even temperament despite external stressAvoid impatience and emotional reactionsStress is inherent, learn to manage it Engage the person not the stress
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Respect
Respect must be earned and retained by actions each dayHow you present yourselfHow you conduct an investigation
Courtesy towards position vs professional respect
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Attitude
Attitude is what others perceive it to be
Non-verbal communication expresses attitude Stance Facial expression
Critical to project a positive attitude towards:The agencyThose you come in contact withYourself
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Appearance and Bearing
Investigators are judged based on personal habits, appearance and demeanor as well as their skillsGrooming habits PostureMannerisms
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Lesson 2: Rules of Professionalism
Rules of Professionalism
ValuesNever enforce personal values on an investigation Investigators are impartial and objective fact-finders
Personal InvolvementAvoid personal involvement in a case Perceived as bias
Maintain professional distance
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Rules of Professionalism
Self Concept Be aware of how you see yourself and how that will lead others to see you
Preparation Invest due time and attention to allegations and people in an investigationCareful analysis leads to better investigations
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Rules of Professionalism
ExpertiseKnow the subject matter being questioned Specialist vs. GeneralistGet technical assistance when needed Continuing education
AptitudeDepartments should have standards for professional investigators
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Lesson 3: Ethics & Conflicts of Interest
Ethics
From the Greek Ethos, meaning “Character”Professional Codes of Ethics Institutionalized guidelines of proper behavior Provides standards for behavior
Defines how people ought to interact with one another
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Ethics
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
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Ethics
The success of every aspect of the investigative process depends on the professional integrity of
the individual investigator.
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Conflicts of Interest
A situation in which someone in a position of trust, such as an employee, has competing professional
or personal interests
Any situation in which an individual or corporation is in a position to exploit a professional or official
capacity in some way for personal or corporate gain
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Conflicts of Interest
Restrictions on the activities of public officers and employees have existed in many jurisdictions for many yearsFlagrant conflicts of interest includeNepotism Bribery Extortion
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Examples of Conflicts of Interest
Personal benefit/Self-dealingOutside employmentFamily interestsGifts and gratuitiesOther types of possible inappropriate conflicts
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Personal Benefit/Self-Dealing
Inappropriate to use position as a public employee for personal gain Includes privately held business interests and businesses owned/operated by friends or relatives
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Outside Employment
Accepting employment in a 2nd job can cause problems if the duties of that position are adverse or incompatible with your position as an investigator
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Family Interests
Most jurisdictions have rules to prevent nepotismFamily members should not report to each other within the same organizationContracts should be awarded based on merit, not due to the employment of a family member
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Gifts and Gratuities
Accepting any gift, gratuity, or other item having monetary value:Creates the appearance of improprietyCause questions regarding the impartiality of an investigatorOn a frequent basis creates the appearance of using position for personal gain
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Appearance of Impropriety
Soliciting or accepting payment for services performed within the scope of official dutiesOffering, or accepting payment for the use of your position to obtain a contract
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Appearance of Impropriety
Using confidential information for the economic benefit of yourself, or another personAccepting payment that may influence the performance of official duties
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Appearance of Impropriety
Accepting professional opportunity when it is likely provided to influence the performance of official dutiesAccepting any monetary payment for any appearance, speech, or article in which you provide expertise related to the performance of official duties
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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Lesson 4: Motivation
Motivation
Catalyst for actionYou are a professional and must be self-motivatedMotivation is needed every day
Professional Conduct
Societal Expectations
Rules of Professionalism
Ethics and Conflicts of Interest
Motivation
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THE COUNCIL ON LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Principles of Administrative Law and the Regulatory Process PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 35 Course At‐a‐Glance 36 Principles of Administrative Law and the Regulatory Process 37
Course At‐a‐Glance
Goals Upon completion of the session, you will be able to:
Understand that the general classification of administrative law is civil, not criminal
Understand the foundations for administrative law procedure
Identify the role of a board in the regulatory process and the powers that are exercised by boards
Define the differences between: o A Law and a Statute o A Regulation and a Rule o A Guidance Document and a Policy
List the three types of administrative agencies
Identify the area most often challenged in administrative hearings
Define the four general methods used by administrative agencies to adjudicate regulatory cases
List the criteria courts use to ensure an administrative action was legal when a challenge or appeal is made
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome and Introductions Slide 1
05 Minutes Session Introduction Slides 2 – 6
10 Minutes Sources and Functions of Administrative Law Slides 7 – 10
10 Minutes Purpose of Administrative Agencies Slides 11 – 13
25 Minutes The Regulatory Process – Definitions Slides 14 – 21
15 Minutes Administrative Agencies, Boards, and Colleges Slides 22 – 25
20 Minutes Limits on Administrative Agencies Slides 26 – 31
25 Minutes Adjudication of Administrative Cases Slides 32 – 39
05 Minutes Session Review Slides 40 – 47
Lesson 1: Sources and Functions of Administrative Law
Sources & Functions of Administrative Law
Administrative Law is a branch of statutes, rules, policies, and court decisions that tell us how
government agencies can and do operate
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Sources & Functions of Administrative Law
Procedural vs. Substantive AuthorityDifferences from Civil and Criminal Law
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Sources & Functions of Administrative Law
Functions
Sets forth the powers that may be exercised by administrative agencies Lays down the principles governing the exercise of
those powers Provides legal remedies to those aggrieved by
administrative action
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Lesson 2: Purpose of Administrative Agencies
Purpose of Administrative Agencies
Set and maintain standardsCarry out functions of government on a day-to-day basis Control entry into a profession Inspect and regulate facilities Dispense grants, subsidies or other incentives
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Purpose of Administrative Agencies
Other reasons for Administrative Agencies Population increase Expansion of government responsibilityNeed for flexibilityDevelopment of expertise in dealing with particular
issues Legislative inability Judicial inability
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Lesson 3: The Regulatory Process
The Regulatory Process - Definitions
Law (Statute): A written provision passed by a legislative body.
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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The Regulatory Process - Definitions
Regulation (Rule): A provision of general application promulgated or adopted by the agency applicable
basic laws. A regulation has the force of law, affecting the rights or conduct of individuals and
businesses.
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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The Regulatory Process - Definitions
Guidance DocumentPolicy Memoranda or Documents
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Statutory Authority
An administrative agency is a creature of statute and is only entitled to act within the jurisdiction
created by legislation and in a manner the statute that created it prescribed
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Statutory Authority
Powers of Administrative Agencies Legislative Power Executive Power Judicial Power
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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The Regulatory Process
Sample Legislative Regulation:
The board shall promulgate regulations necessary to assure continued competency, to prevent
deceptive or misleading practices by practitioners and to effectively administer the regulatory system
administered by the regulatory board.
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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The Regulatory Process
Sample Judicial Regulation:
The board may, in considering the totality of the circumstances, fine any licensee, certificate holder,
or permit holder, and to suspend or revoke or refuse to renew or reinstate any license.
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Lesson 4: Administrative Agencies, Boards, & Colleges
Regulatory Entities
Terminology:Department BoardCouncilCollegeDivision
Subject matter within regulatory authority will differ from jurisdiction to jurisdiction
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Board Composition
Varies greatly from jurisdiction to jurisdictionOften includes both professionals and public or “consumer” members
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Types of Agencies
Autonomous BoardsCentralized AgenciesSemi-Autonomous Agencies/Boards
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Lesson 5: Limits on Administrative Agencies
Four Limits on Administrative Agencies
Legislative
Executive
APA
General Controls
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Legislative
Legislative
Executive
APA
General Controls
Initial grant of authorityReport and Wait procedureRevoke or narrow authority granted through legislationSunset law Interim oversightAuthorization for appropriationsAnnual/biennial report
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Executive
Legislative
Executive
APA
General Controls
Derived from the executive office of governmentExecutive orders or formal directivePower to appoint people to positions within the agencyModification of organizational structureOversight of rule-making proceedingsPower to control litigation affecting agencies
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Administrative Procedures Act
Legislative
Executive
APA
General Controls
Public AccessAgency laws, regulations and policiesAgency meetingsAgency records
Agency Rulemaking ProcedureAgency Adjudication ProcedureNotice Hearing
Judicial Review
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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General Controls on Administrative Agencies
Legislative
Executive
APA
General Controls
Open meeting lawsFreedom of Information Act (FOIA)OmbudsmanProsecutorial DiscretionAgency Discretion
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Lesson 6: Adjudication of Administrative Cases
Consent Orders
Consent Orders/Negotiated SettlementsAdmission of violationWavier of right to hearingAgreed imposition of sanction/penalty
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Summary Suspensions
Summary SuspensionAllowed by statute or regulation Showing a degree of harm to the publicRequires due process
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Informal Hearings
Alternative Dispute Resolution/MediationMediationArbitration
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Formal Hearings
The nature of the proceedingsGenerally considered civil, but with specific rulesNot criminalRules of evidence do not apply, but are usually
followedHearsay evidence is allowed but given limited weight
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Formal Hearings
Basic requirements of the proceeding:NoticeDiscovery Present/Contest EvidenceWritten DecisionAppeal Rights
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Issues Related to Adjudication
Interagency AgreementsReferral of cases for criminal action or unlicensed activity
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Final Agency Decision
Final OrderAppeal Judicial Review- court must assure the agency has:Acted ConstitutionallyActed within the scope of its authorityUsed correct constitutional or statutory proceduresReached a decision supported by facts Instituted a justified penalty
Principles of Administrative Law
Sources and Functions of Administrative Law
Purpose of Administrative Agencies
The Regulatory Process
Administrative Agencies, Boards, and Colleges
Limits on Administrative Agencies
Adjudication of Administrative Cases
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Questions
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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)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 67 Course At‐a‐Glance 68 Investigative Process 69
Course At‐a‐Glance
Goals 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 List and explain seven sources for obtaining information to
implement an investigative plan. Identify resources required to implement an investigative plan.
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome and Introductions Slide 1
15 Minutes Session Introduction Slides 2 – 5
15 Minutes Definitions Slides 6 – 9
15 Minutes Intake of Complaints Slides 10 – 13
30 Minutes Complaint Analysis Slides 14 – 25
60 Minutes Investigative Planning Slides 26 – 48
10 Minutes Execution Slides 49 ‐ 51
25 Minutes Session Review Slides 52 – 59
Lesson 1: Definitions
Definitions
Complaint- An expression of pain, dissatisfaction, resentment, discontent or griefComplaint (legal)- The presentation by the plaintiff in a civil action, setting forth the claim on which relief is sought, i.e. Administrative complaint
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Definitions
AllegationViolation Inquiry Jurisdiction
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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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)
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Lesson 2: Intake of Complaints
Source of Complaints
ConsumerOther professional licenseesProfessional associations/societiesOther state agencies Internally generatedLaw enforcement agencies
Media Insurance companiesFederal AgenciesAnonymousHospitalsAttorney Representing complainant
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Standard of Acceptance
JurisdictionRight and power to interpret and apply law
Legal Sufficiency When facts as alleged are true constitute a violation of
laws/rules
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Other Issues in the Intake Process
Complaints Information Statutory Requirements Written Verbal or Oral
Method of Receipt and ReviewCentralizedDe-Centralized
Recording of Intake Information Formal Informal
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Lesson 3: Complaint Analysis
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
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Complaint Analysis
The Intake InvestigationPeer ReviewExpert Assistance Jurisdictional IssuesOverlapping Jurisdictions Levels of Jurisdiction
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Intake Investigation
Investigator must possess working knowledge of all applicable lawsArea of jurisdiction and legal sufficiency may be furthered to higher levels of law
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Intake Investigation
Once complaint has met the Standards of Acceptance in analysis stage other actions are appropriate for considerationSpheres of activity investigator may face include: Interface with criminal arenaCivil law proceedingsCooperation by all regulatory agencies and law
enforcement
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Peer Review
Allows investigators to:Qualify further allegationsQuantify necessary elements of the violation
Often necessary step of analysis depending on applicable laws of the state
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Expert Assistance
Use of experts must be considered in review stage of complaint processExperts often become witnesses in the investigation and litigation stage of the complaint process
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Jurisdictional Issues
Investigators will face overlapping jurisdictional issues In complaint analysis stage In investigation stage
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Jurisdictional Issues
Levels of Jurisdiction Proper identification of appropriate level is keyWorking cooperation and shared resources helpful Investigator should maintain communication with
appropriate officials/agents
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Interagency Relations
Characteristics of Law Enforcement PersonnelCompetitiveCooperative Suspicious PersuasiveAssertive
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Interagency Relations
Behavior of IndividualsResult of StimulusOfficials Play Roles Predictable
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Interagency Relations
Interfacing with Agencies Seek agencies with similar jurisdictionsAvoid “Turf Battles”Avoid Criticism Positive InfluencesRemember the Goal: Cooperation
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Lesson 4: Investigative Planning
Investigative Planning
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
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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The Investigative Plan
FormatAsk all of the important questionsTime is of the essence Questions
to Ask
Who
What
Where
When
Why
How
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Case Development Questions
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
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Case Development Issues Directly Related to Complaint
ElementsSources of InformationWitnessesLegal InstrumentsCollect and Maintain EvidenceExpertsProblems
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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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.
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Sample Statutes
Failing to provide expedient, reliable and dependable services when requested by a client or a
client’s guardian.
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Case Development Issues Indirectly Related to Complaint
Priority AssignmentsCostsGeographic ConsiderationsStaff Training/Talent/Skill LevelsBoard Rules and Policy
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Selection of Investigative Method
Field/Central Office InspectionUse of Experts or ConsultantsUndercover (covert) vs. Direct (overt)
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Required Reports and Records
Almost all agencies have the power to require recordsFourth amendment does not protect against report requirementsRequired records not protected by fifth amendment
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Physical Inspections/Inspection Warrants
Primary function of administrative inspectionMust not violate fourth amendment Warrantless searches permissible in industries subject to licensing and intensive regulation
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Subpoenas and Search Warrants
Subpoena (Subpoena Duces Tecum)Official command and has coercive effect5th Amendment self incrimination conflicts
Search WarrantsRequires Probable CauseNot often used in administrative cases
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Hearings, Demand Letters and Interviews
Investigative HearingsUsed to further investigation and gather evidenceKnown as informal fact-findingUsed to explore possible violations
Demand Letter Issued to suspect or witnessOutlines info requested and steps to be taken
Interviews
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Section 1: Seven Basic Sources for Obtaining Investigative Information
Individual Investigator
Has files that contain best source of informationKnowledgeable of past investigationsAccess to other agency investigators, staff and recordsRecords of other regulatory or law enforcement agencies
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Complainant
Provides the needed information that becomes the foundation of the investigations Identifies others involved who have knowledge of the incident
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Respondent
Subject of investigation provides response to aggrieved party’s allegationsObtain copies of documents and records that substantiate the complaint Identify others who have knowledge of incident
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Witnesses
May add credibility to the complaint or refute allegationsObtain documents and records in their possession pertinent to the compliantBe aware of the relationships between witnesses and primaries
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Public Records
Provide independent information to verify or refute complaintsProvide leads for further interviewsFurnish legal basis for obtaining a subpoena
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Private Records
Third party records that reflect what should be in the respondent’s recordsThird parties may be free to disclose own recordsHowever a subpoena is required if the relationship
between the third party and the respondent is sensitive
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Physical and Electronic Evidence
Scene/premise searchesBehavior generated evidenceSurveillance/undercover operation Individuals, business or governmentDatabases (subject to privacy rights)Scientific Evidence i.e. lab samples, test resultsDemonstrative evidenceCommonly forgotten sources
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Investigative Plan
Number of InterviewsRecordsUnusual CharacteristicsCovert vs. Overt InvestigationSpecial Assistance
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Investigative Planning Resources
PersonnelMaterials RequiredFinancial Resources
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Lesson 5: Execution
Execution of the Plan
FlexibilityMust maintain flexibility in the planning processAbility to shift emphasis or redirect investigations
criticalCircumstances can change, requiring a change in
planning
Activity vs. ResultsGenerally, investigators are activity-basedManagement by Objectives (MBO) Provides user with direction to reach a goal/objective
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Execution of the Plan
Prosecution RequirementsRelationship 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 PoliciesStatutory Mandates
Investigative ProcessDefinitions
Intake of Complaints
Complaint Analysis
Investigative Planning
Execution
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Questions
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THE COUNCIL ON LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Investigator Safety
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 113 Course At‐a‐Glance 114 Investigator Safety 115
Course At‐a‐Glance
Goals Upon completion of the session, you will be able to:
Describe security and safety concerns faced by investigative staff and ways they may be reduced.
Identify appropriate de-escalation techniques and when they should be used.
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome and Introductions Slide 1
05 Minutes Session Introduction Slides 2 – 4
10 Minutes Safety Survey Slides 5 – 9
15 Minutes Confrontational or Threatening Situations Slides 10 – 15
15 Minutes De‐Escalation Techniques Slides 16 – 23
10 Minutes Session Review Slides 24 – 28
Lesson 1: Confrontational or Threatening Situations
Confrontational or Threatening Situations
Use cues from physical behavior to determine mood Facial expressions Eye contactTone of voice
Maintain constant awareness of surroundings Investigator Triad
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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Awareness of Self
Recognize perceptions of you as an investigator and your authority over licenseesTakes constant effort to mitigate these perceptionsManaged through HR and Situational Management skillsRemember who you are
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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Awareness of Others
Observe and interpret emotional and physical behaviorBehavioral Based AnalysisRemember who they are
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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Awareness of Environment
Maintain constant awareness of environment PeopleObjects Physical location
Static vs Dynamic environmentsKnow egress paths and locationsRemember where you are
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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Fight or Flight Instinct
Natural instinct possessed by all beingsThis reliable instinct provides danger radar and should not be ignoredMust know how to read and react to potentially dangerous encounters
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
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Lesson 2: De‐Escalation Techniques
De-escalation Techniques
Dealing with Human Beings We never know how people will respond in a given
situation Behavior is controlled by logic and reason – to a point Being the subject of an investigation may send some
people into “survival” mode
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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Using Verbal De-Escalation
Use only in potentially violent situations when no weapon is involvedReasoning with an enraged person is not possibleDe-Escalation techniques are counter-intuitive and must be practiced before they are needed
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
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Be in Control of Yourself
Appear CalmUse low tone of voiceRemove jewelry or scarvesRemove religious or political symbolsDo not be defensiveBe aware of options for back-upBe respectful while firmly setting limitsTreat the subject with respect
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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Physical Stance
Never turn your backStay on the same eye levelAllow extra space between yourself and the subjectDo not maintain constant eye contact
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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Physical Stance
Do not point or make aggressive gesturesDo not touch the person- for any reasonKeep hands out of pockets
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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The De-Escalation Discussion
Only goals is to reduce the level of emotionDo not raise your voiceRespectfully answer informational questions, even if rudely askedDo not answer abusive questionsExplain limits and give choices where possible Do not solicit or analyze feelings
Investigator Safety
Safety Survey
Confrontational or Threatening Situations
De‐Escalation Techniques
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The De-Escalation Discussion
Do not argue or try to convinceEncourage the subject to think cognitivelySuggest alternative behaviors, where appropriateGive consequences of inappropriate behavior without threatsRepresent controls as institutionalTrust your instincts
Investigator Safety
Safety Survey
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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)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page Table of Contents 131
Course At-a-Glance 132 Principles of Evidence 133
Course At-a-Glance
Goals Upon completion of the session, you will be able to:
• Identify the classifications, types and forms of evidence. • Identify the uses of each type of evidence. • Understand the rules of evidence and uses in administrative proceedings.
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media 05 Minutes Welcome and Introductions Slide 1
10 Minutes Session Introduction Slides 2 – 4
10 Minutes Introduction to Principles of Evidence Slides 5 – 8 15 Minutes Classifications of Evidence Slides 9 – 13
25 Minutes Forms of Evidence Slides 14 – 21 30 Minutes Principles of Evidence Affecting Investigations Slides 22 – 32
10 Minutes Sufficiency of Evidence in Administrative Proceedings Slides 33 – 35 15 Minutes Session Review Slides 36 – 41
Lesson 1: Introduction to Principles of Evidence
I<Clicker Question
Do you collect/handle
evidence as a part of
your investigations?
A. Yes
B. No
C. Unsure
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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General
The Law of Evidence
Why have Rules of Evidence?
Consistency
Reliability
Fairness
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Principles of Evidence Terms
Evidence
The means by which any contested factual matter may
be established or disproved in a legal proceeding
Probative
That which furnishes, establishes, or contributes
toward proof of an issue to be decided.
Admissibility
Evidence that is proper to be considered in reaching a
decision.
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Lesson 2: Classifications of Evidence
Classifications of Evidence
Two main classifications of evidence
Direct
Circumstantial
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Direct Evidence
Eyewitness
Other Forms – i.e. photos, records
Photographs
Records
Signed Statements
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Circumstantial Evidence
Cases around circumstantial evidence
Difficulties
Circumstantial evidence requires inferences to be
drawn from the evidence in order to prove the case
Requires proof that interpretation of evidence is only
reasonable conclusion
Must rule out other reasonable possibilities
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Circumstantial Evidence Example
Drugs are missing
Only when one nurse was on duty
Only at the end of his/her shift
Only this nurse had access to the medicine
cabinet during times in question
Patients complained:
Did not receive medications or,
Medications didn’t work
The nurse had slurred speech during his/her
shift
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Lesson 3: Forms of Evidence
Forms of Evidence
Real Evidence
Testimonial Evidence
Demonstrative Evidence
Judicial Notice/Stipulations
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Real Evidence
Documentary Evidence
Example: Email communications
Physical Evidence
Example: A gun
Scientific Evidence
Example: Lab test results
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Testimonial Evidence
Personal knowledge is
generally required
Must testify under oath
or affirmation
Two main types of
witnesses
Lay Witnesses
Expert Witnesses
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Testimonial Evidence
Lay Witnesses
Generally, only allowed to testify to facts they observed
No opinions, unless they apply to observable facts like
appearance, handwriting, or behavior
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Testimonial Evidence
Expert Witnesses
Often used when case involves technical issues or
issues of professional standards
Court/hearing officer determines if the witness
qualifies as an expert
Competence of experts is never presumed
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Demonstrative Evidence
Used to support testimonial
evidence
Makes evidence more
understandable to the trier of
fact
Examples include:
Maps
Photos
Diagrams
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Judicial Notice and Stipulations
Judicial Notice:
Commonly known facts
Information that is accepted as true without the need
to present other forms of evidence
Example: Time of sunrise or day of the week
Stipulations:
Information and evidence agreed upon in advance by
both parties
Once in place, accepted as true and requires no
additional proof
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Lesson 4: Principles of Evidence Affection Investigations
General Admissibility Concerns
Materiality
Having some logical
connection with the
consequential facts
Relevancy
Logical Relevance
Legal Relevance
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
AdmissibleWhat is allowed into
the record
InadmissibleWhat’s not allowed
into the record
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General Admissibility Concerns
Competency
Generally competent to testify if able to:
Observe
Recollect
Communicate and understand the oath to tell the truth
Adult vs. child requirements
Adults are competent unless they are of unsound mind
Child age requirements usually determined by statute
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Privileges
Rationale
Admissible evidence not admitted due to negative
affect on legally protected relationship
Established by legislation or through case law
Not created simply to keep information private or
confidential
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Examples of Privileges
Physician-Patient privilege
Clergyman-Penitent privilege
Marital
Attorney-Client privilege
Other Relationships
Trade Secrets
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Hearsay
An out of court statement that is presented at a
hearing for the truth of the matter asserted
Generally permitted in administrative hearings but
given limited weight
Only if of sufficient reliability
Make sure your evidence is first-hand information
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Hearsay Example
James tells you that Angie is stealing medication
Name three ways how James knows this
First-hand, direct knowledge
James saw Angie take the pills
Circumstantial
James saw Angie near where medications are kept. Later,
medication was found missing.
Hearsay
A nurse told James that she saw Angie take medication
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Hearsay Exercise
Exercise: Telephone
Purpose: to
demonstrate the
unreliable nature of
hearsay
Principles of EvidenceIntroduction to Principles of Evidence
Classif ications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Suff iciency of Evidence in Administrative Proceedings
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Authentication of Evidence
Establishes that the evidence is what you claim it
to be
Requires a process of thorough documentation on
collection and maintenance of evidence
Source of evidence
Chain of custody
Must permit authentication of evidence for months
to years after collection
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Best Evidence Rule
The most original document is best
Secondary evidence acceptable when:
Original document unavailable
Presenting party did not make original document
unavailable or if original document is unavailable, done
so with no bad intent
Doesn’t apply to fact to be proven; has existence
independent of any writing
Example: births, marriages, or deaths
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Impeachment Evidence
Used to question the credibility of a witness
Demonstrating Bias
Self-Contradiction
Poor Character
Poor Perception
Prior Conviction/Bad Acts
Contradictory Evidence
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Lesson 5: Sufficiency of Evidence in Administrative Proceedings
Burdens of Proof
Defines who must
present sufficient
evidence to prevail
Generally rests upon
the administrative
agency or regulatory
authority
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Standards of Proof
Defines amount of credible and persuasive
evidence required to meet burden of proof
Preponderance of the Evidence
Most commonly used in administrative hearings
Clear and Convincing Evidence
Highly probable that elements of the violation occurred
Different than standard in criminal proceedings
Beyond a reasonable doubt
Principles of EvidenceIntroduction to Principles of Evidence
Classifications of Evidence
Forms of Evidence
Principles of Evidence Affecting Investigations
Sufficiency of Evidence in Administrative Proceedings
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Questions
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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)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 163 Course At‐a‐Glance 164 Evidence Collection, Tagging, and Storage 165
Course At‐a‐Glance
Goals Upon completion of the session, you will be able to:
Identify the proper techniques for gathering evidence in different types of investigations.
Identify the proper methods for maintaining the chain of custody.
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome and Introductions Slide 1
10 Minutes Session Introduction Slides 2 – 4
05 Minutes Introduction to Evidence Collection Slides 5 – 6
45 Minutes Obtaining Evidence Slides 7 – 21
15 Minutes Maintaining Evidence Slides 22 – 26
30 Minutes Practical Exercises Slides 27 – 76
10 Minutes Session Review Slides 77 – 81
Lesson 1: Introduction to Evidence Collection
Introduction to Evidence Collection
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
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Lesson 2: Obtaining Evidence
Planning Evidence Collection
Identify possible sources Identify possible types/forms of evidenceAnticipate problems in obtaining evidenceAnticipate problems in maintaining evidenceAgency procedures
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Possible Sources
SearchesBehavior Generated EvidenceSurveillance/Undercover Operation Individuals, Business or GovernmentDatabasesScientific EvidenceDemonstrative EvidenceCommonly Forgotten Sources
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Searches
Legally authorized
Planned
Controlled
Methodical
Detailed
Documented
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Behavior Generated Evidence
Putting yourself in the shoes of the alleged wrongdoerReconstruction of the situation or eventPay close attention to what you touch, look at or would think could be used to conceal your actions
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Surveillance
Undercover/covert vs. Overt Planning is criticalDuration- what is the objective?Use of electronics
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Individuals, Business or Government
Consider who to interview and how they are related to the eventBe aware of issues of credibility, hostility, bias and personal interestCollect written statements from witnesses whenever possible
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Databases
Increasing reliance on computers for data storageTechnical assistance can be required to extract informationBe aware of agency policies related to electronic media and communicationsMany policies are not keeping up with email and social media
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Scientific Evidence
Laboratory samples and test results Investigators must collect samples in such a way that they can be tested and presented at hearingEnsure you have access to a lab that can run the required tests
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Demonstrative Evidence
Evidence that supports testimony and makes facts more understandable – i.e. photos, maps, recreationsPhotographs:One person photographingGeneral to specificRecord date and time Photograph everythingUse measuring scaleConsistent technique
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Commonly Forgotten Sources
Files, diaries, telephone bills, credit card purchases, evaluations, weather serviceSecurity equipment or personnelTelephones and answering machines or servicesCalendars or appointment books
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Section 1: Electronic Communication and Electronically Stored Records
Electronic Communications
Electronic mailText messaging Instant messagingSocial media
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Electronically Stored Records
Consists of information created, manipulated, communicated and stored in a digital formTypical electronic recordsStored on various mediaPresent opportunities and challenges to investigators
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Issues Associated with Electronically Stored Records
Policies and procedures for paperless recordsSocial media as an information sourceUsing social media in investigations
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Lesson 3: Maintaining Evidence
Preserving Identity
MarkingTaggingSealing and Labeling Identification
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Preserving Evidence
Adequate ControlGet to secured area ASAP through as few people as
possible Ensure tight securityMaintain suitable environmentAvoid alteration
Security Measures
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Consequences of Poor Procedure orPractice
Unavailable EvidenceUnauthenticated EvidenceDamaged Evidence
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Disposition of Unneeded Evidence
Is the case closed?Are there other related cases?Return evidence, if permitted
Exercise Collection, Tagging, and Storage
Introduction to Evidence Collection
Obtaining Evidence
Maintaining Evidence
Practical Exercises
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Lesson 4: Practical Exercises 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.
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.
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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Case Study # 3: Identity of Interest
Scenario Brief
Homer C. Smith previously owned a company by the name of Homes‐R‐Us.
The State Board revoked the company's license in 1991.
In 1992, Mr. Smith started a new company, We Build'em, Inc.
Mr. Smith filed an application for licensure with the Board for Contractors.
He contacted the Board and asked whether his present license application would be denied based on the previous revocation.
He is informed by the licensing review technician that any previous disciplinary action will be considered by the Board in determining whether the license would be issued.
Shortly thereafter, Mr. Smith withdrew the application.
Two weeks later, Robert Smith (Homer Smith's father) applied for a contractor's license for an entity titled Build‐A‐House, Inc.
Robert Smith does not include Homer Smith on the application as having any position with the company.
After being in business for approximately two years, an anonymous complaint is received by the Board alleging the following facts regarding Robert Smith:
Is over 70 years old
Was retired until two years ago
Receives no salary
Does no work for the company
Homer Smith negotiates and signs contracts on behalf of Build‐A‐House, Inc.
When speaking to customers and while working on construction projects Homer Smith refers to Build‐A‐House, Inc. as "his company."
Homer Smith has signed personal guarantees with several local suppliers on behalf of Build‐A‐House, Inc.
The company operates out of the garage of Homer Smith's private residence.
Homer Smith has signed applications for building permits and other construction documents on behalf of Build‐A‐House, Inc.
Presently, he has signed a building permit for a home that is being built for Steve and Marsha Johnson in a subdivision about 10 miles from the city.
Regulation 1.4
The Board may suspend or revoke an existing license of any contractor who is shown to have a substantial identity of interest with a contractor whose license has been previously revoked by the Board.
A substantial identity of interest includes but is not limited to (i) a controlling financial interest by the individual or corporate principles of the contractor whose license was revoked or (ii) substantially identical principals or officers.
Discussion Questions
Is the investigation adversely affected because the complaint was anonymous?
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What are the elements of Regulation 1.4?
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List the testimonial evidence you will want to obtain. Classify the evidence as direct or circumstantial. Do you perceive any obstacles to obtaining the evidence?
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List the real evidence you will want to obtain. Classify the evidence as direct or circumstantial. Do you perceive any obstacles to obtaining the evidence?
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During the investigation, you interviewed Robert Smith who is listed as the president of the company. He states that Build‐A‐House, Inc. employs Homer Smith as a construction manager. How would this affect your investigation?
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Case Study # 4: False Credentials
Scenario Brief
On October 5, 1993, Nathan N. Geneer submitted an application for licensing as a Professional Engineer to the Richmond Board for Architects, Professional Engineers, Land Surveyors and Landscape Architects (the Board). The application was in writing and the application was notarized on October 5, 1993. Question 6: Geneer states that he attended Kromberg State University.
Question 7: Geneer states that he graduated in 1972 receiving a Bachelor of Science Mechanical Engineering
degree. Attached to the application was a Verification of Degree form which certifies that the degree
was received on May 10, 1972. The application includes the certifying signature of Michael Bristowe, Assistant Dean.
Question 8: Geneer states that he is licensed as a Professional Engineer in Maine. Attached to the application was a document purported to be from the Maine State Board of
Registration for Professional Engineers and Land Surveyors. The document provides that Geneer was issued a Professional Engineer registration, certificate
number 57189, in May of 1984. The document reflects that it was completed by Garry Bostell, P.E., Executive Secretary.
Question 9: Geneer states in writing that the Maine license was granted on the basis of a written
examination. On November 15, 1994, the Board received an Affidavit of No Records from Bostell. The affidavit states the following:
"That a thorough search of our files, carried out under my direction and control, revealed no record of registration with this Board as either a Professional Engineer or Certification with this Board as an Engineer in Training for Nathan N. Geneer."
By letter dated November 20, 1994, Kendall I. Kirkland, Director, Office of Records and
Registration, Kromberg State University. Kirkland states in the letter that no record can be found of Geneer ever attending the University. In addition, Kirkland states he was informed by Michael Bristowe that his (Bristowe's) signature
on the document is a forgery. You have been assigned to investigate the complaint which has been initiated by the Board.
Richmond State Board for Professional Engineers Regulations
§ 11.11. Sanctions
No license, certification, registration or regulant shall be fined, suspended or revoked unless a majority of the members of the entire board and a majority of the board members of the profession involved vote for the action. The board may fine, suspend or revoke any license, certification, certificate of authority or registration, if the board finds that:
The license, certification or registration was obtained or renewed through fraud or misrepresentation.
§ 12.2. Public Statements
A professional shall not knowingly make a false statement or fail deliberately to disclose a material fact requested in connection with his application for licensure, certification, registration, renewal or reinstatement.
Richmond State Criminal Code
Section 15.27‐44. Unlawful acts
It shall be unlawful for any person, partnership, corporation or other entity to materially misrepresent facts in an application for licensure, certification or registration. Any person who willfully engages in such conduct shall be guilty of a Class 1 misdemeanor.
Section 20.17‐55. Forging public documents
If any person forges a public record or attestation of any public officer or public employee, in relation to any matter wherein such record, certificate or attestation may be received as legal proof or attempt to employ as true such forged record, certificate, or attestation, knowing the same to be forged, he shall be guilty of a Class 4 felony.
Complaint File Exhibits
1. Application
2. Verification of Degree Granted
3. Verification of Registration
4. November 11, 1994 Letter
5. Affidavit of No Records
Exhibit 1: Application
Exhibit 1: Application (Continued)
Exhibit 2: Verification of Degree Granted
Exhibit 3: Verification of Registration
Exhibit 4: November 11, 1994 Letter
Exhibit 5: Affidavit of No Records
Discussion Questions
What are the elements for at least one of the regulations and one of the statutes?
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Which of these regulations or statutes may have been violated based on what you have read? State your basis for each violation.
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Are there any issues related to authentication? Please explain your answer.
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Are there any issues related to the best evidence rule? Please explain your answer.
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Describe how you would handle the testimonial evidence and any issues related to that evidence.
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Questions
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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)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 201 Course At‐a‐Glance 202 Interviewing Techniques 203
Course At‐a‐Glance
Goals Upon completion of the session, you will be able to:
State the two main goals of an interview Identify the personal attributes of the successful interviewer Identify human relation and interpersonal skills Identify the elements of planning and preparing for the interview Discuss the in-person interviews versus telephone interviews List the three steps of the interview State the two interview examination types Identify proper and improper questioning techniques from a given list
of sample interview questions Identify interview contaminates
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome Slide 1
05 Minutes Session Introduction Slides 2 – 6
10 Minutes Introduction to Interviewing Techniques Slides 7 – 8
45 Minutes Attributes of Successful Investigators Slides 9 – 19
45 Minutes Planning and Preparing the Interview Slides 20 – 32
45 Minutes Conducting the Interview Slides 33 – 44
75 Minutes Tips & Techniques Slides 45 – 68
10 Minutes Session Review Slides 69 – 76
Lesson 1: Introduction to Interviewing Techniques
Importance of Interviewing
A conversation with a purposeTwo main goals of interviewingCollect information free from bias Produce factual and accurate information
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Lesson 2: Attributes of Successful Investigators
Personal Attributes
Honesty, integrity, and objectivity Investigators are impartial fact finders only
Ability to establish rapportDone quickly and under many diverse conditions
Listening Spend more time listening than talking
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Personal Attributes
Evaluating responsesWhat is being saidHow it is being said
Emotional controlMaintain professionalismDemonstrate self-control while under attack
CuriosityMain job is to garner information
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Personal Attributes
SpeechUse natural speech volume, patterns, and vocabularyUse a respectful toneDisplay genuine interest when asking questionsAvoid fillers (example: “uh” and “um”)Avoid jargon and acronyms Never use profanity
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
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Personal Attributes
Appearance Investigators portray the professionDress professionally, according to agency standards Ensure equipment is clean and in good repair
BearingUse good posture both when standing and sitting
Personal habits and mannerismsKeep to a minimumAvoid offensive habits and mannerisms
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
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Interpersonal Skills
ProfessionalismApproachabilityRespectfulnessSincerity
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
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Professionalism
Always show unbiased and professional conduct throughout an investigationEverything you do should enhance your and your department’s reputations
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
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Approachability
Quiet, calm, and reasonablePosition carries great amount of responsibility and authorityCan cause fear, or mistrust in someMust work to overcome this perception
Project self-confidence
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Respectfulness
Subjects of investigations can often feel disrespected by investigators and law enforcement officersWhenever possible, make the person feel valuedWhen people feel valued they are more likely to
cooperate
Use names when conversing with people Everyone likes the sound of their own name
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Sincerity
Sincere concern for all parties is a key to successMust overcome any personal feelings and opinionsMust show verbal and non-verbal queues that you care
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Interview vs. Interrogation
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
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Lesson 3: Planning and Preparing the Interview
Questions to Ask Yourself
Are you mentally and emotionally prepared for the interview?Does another investigator have more knowledge of the subject matter?Are you the right person to conduct the interview?
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Legal Preparation
Ensure you have jurisdiction/authority to conduct the interview Identify other issues that may dictate interview circumstances Example: Collective bargaining agreements
Review allegations for criminal activity
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Background Information & Forms
Gather as much evidence as possible in advance about the incident and those involved Identify and gather all forms required during the interview Example: Affidavits
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Gather Evidence & Identify Questions
Document receipt of evidenceMethods of maintaining evidence during the interviewCreate an outline of questions to ask during the interviewReview evidence and frame questions accordingly
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Other People
Determine if the subject requires an attorney during the interviewOutline the role of the attorney in the interviewDetermine if the subject should have/can have a support person present during questioning
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Handling Multiple Witnesses
List all witnesses to the incident to determine the number of interviews requiredDetermine how multiple interviews will be conductedKeep witnesses separated to determine accurate, and
untainted responses
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Notes and Recordings
When to recordAlways take notesDuring the interview or immediately after
Who to record If necessary, have another investigator help
Recording devicesAdvantage of documentation Legal and practical issues to consider
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Notes and Recordings
Legal issuesAuthority concernsRequirements of recordingMaintenance of recordings
Practical issuesResources availableTake notes as backup
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Timing
Timing of InterviewsTime to incidentTime of day Scheduling of interviews
Subject InterviewGenerally done last
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Location
PrivateNeutralMinimize distractions
Interviewing TechniquesIntroduction to Interviewing Techniques
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Planning and Preparing the Interview
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Tips & Techniques
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Location
LightingSeatingType Placement
Interviewing TechniquesIntroduction to Interviewing Techniques
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Planning and Preparing the Interview
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Lesson 4: Conducting the Interview Section 1: Telephone Interviews
Advantages & Disadvantages
AdvantagesReduce 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
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Similarities to In-Person Interviews
Preparation is the most critical element Interviewer behaviors are the sameSimilar questioning techniques workPsychological stressors are also present during phone interviews
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Differences to In-Person Interviews
Allows for interviewer’s shortcomings to be covered somewhatMust pay more attention to precisely what is said in order to pick up on behavior cues
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
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Section 2: Conducting Interviews
Introductions and Identifications
IntroduceYourself IntervieweeAdditional people in the room
Establish report
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Introductions and Identifications
Personal information Explain why you need what information you need Personally Identifying Details Employer Information Contact Information
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Indirect Examination
Listen Basic interrogativesVague, misleading, inconsistent Elements
Note: Take general notes but also identify items that require follow-up
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Direct Examination
For clarification and detailQuestion from general to specificRepeat indirect and direct examination throughout the interview as necessary
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Concluding the Interview
Summarize and verifyAdditional informationAdditional leadsReleases, statements, and evidenceRe-establish rapport
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Lesson 5: Tips & Techniques
Understand Body Language
Only 40% of communication is verbal
Nonverbal Message PostureGestures Eye Movement
Facial Expressions
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Physical Boundaries
Everyone requires some personal spaceGeneral rule is an arm’s length
Invading personal space can: Cause discomfort Place you in the danger zone
Best to let subjects have their personal space
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Section 1: Questioning Techniques
Asking the Questions
Open Ended Questions Avoid questions that can be answered “yes” or “no”
Simple/Clear Questions
One Question at a Time
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Asking the Questions
Chronological Sequence Start questioning at the beginning of the incidence and work through to the end
Avoid Leading Questions
InterrogativesWho, what, when, where , why, and how
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Asking the Questions
Human Senses Ask questions that go to the subject’s dominant senses
Vague, Misleading, Inconsistent
Charging Words Avoid words like “lie,” “steal” and “violate”
Pause Sometimes the subject will fill the silence with information
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Asking the Questions
Credibility
Probe Basic Probe Repeat Probe Echo Probe
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Basic Probe
Ask questions using basic interrogatives Example: What do you think of the treatment plan?
Follow up with further interrogatives Example: Why do you think it is a good plan?
Use terminology used by subject to probe for specifics
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Repeat Probe
Helps clear up misunderstandingsExpect the “I don’t know” responseUseful phrases Let me repeat the question…Well, in your opinion…Well, as things stand today, would you say…All things considered…
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Echo Probe
To draw out further detail, echo answer given.Answer: I think it’s a good plan Echo: You think it’s a good plan?
Elicits further explanation from subject/witness
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Section 2: Handling Interview Contaminants
Environment
DistractionsNoises or activity within view of subject can cause
attention to strayDistractions can make subject look away (appear to be
hiding something) when just taking in their environment
PrivacyNo one wants to air their dirty laundry in public Information may be withheld if subject feels exposed
to public scrutiny
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Interviewer Behavior
Body Language
Speech
Preparation
Questions
Predeterminations
Interview Control
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Body Language
Your body language can encourage or discourage the subject from providing information Just as you must be aware of the subject’s body language, you must monitor your own Posture Facial expression Intonation and cadence of speechGesturing Eye contact Physical proximity to subject
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Speech
Your voice is a key element to establishing rapport Important to project sincerityParalanguage can contaminate an interviewThe manner in which you say what you say
Can transform the dynamic of an interview by manipulating your voice70% of people speak using a higher pitch when experiencing anger or fear
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Preparation
Create an outline to structure the interview Interviews without structure are risky Subject may sense a lack of understanding or planning
and exploit perceived weaknesses
An outline is more than a list of questions Include how you want the interview to progress Be flexible to allow for unexpected
questions/information
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Questions
The wording of a question affects the subject’s responseCarefully consider choice of words Especially descriptive adjectives and action verbsAvoid words that lead a subject in a specific direction
Use open ended questionsAllow user to provide more informationAllows interviewer to assess subject’s baseline verbal
and non-verbal behaviors
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Predeterminations
Barriers to filtering informationAssumptions about people or their story Personal bias and values
Avoid impression of seeking an admissionAsk for help or assistance instead
Impression of custody must also be avoidedAvoid ability of subject to mount a duress argument
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Interview Control
Losing control of the interview will contaminate the interviewGoal is to obtain information in a logical mannerKeep the interview flowing through proper questioningRe-establish control when subject becomes hostile or
reserved20% Rule of interviewing
Damage done by poor interview is disastrous
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
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Section 3: Interview Techniques
Numerous Witnesses
Avoid tunnel visionLook for indicators they may be more than just a witness Possible involvement in incident
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
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Monologue
Matter-of-fact deliveryPresent the case information in a way that makes the subject assume you already know everything about the situation
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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Theme Development
RationalizationMakes the action seem acceptable
Projecting BlameTransfers blame to another party
MinimizingMakes the offense seem less severe
Interviewing TechniquesIntroduction to Interviewing Techniques
Attributes of Successful Investigators
Planning and Preparing the Interview
Conducting the Interview
Tips & Techniques
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THE COUNCIL ON LICENSURE, ENFORCEMENT &
REGULATION
NATIONAL CERTIFIED INVESTIGATOR & INSPECTOR TRAINING
BASIC PROGRAM: Overview of Inspection Procedures
PARTICIPANT GUIDE
© 2015 The Council on Licensure, Enforcement and Regulation (CLEAR)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 257 Course At‐a‐Glance 258 Overview of Inspection Procedures 259
Course At‐a‐Glance
Goals Upon completion of the session, you will be able to:
• State the purpose of inspections. • Identify the specific types of inspections. • Identify the inspector’s role. • State the reasons for organizing and planning the inspections. • Identify three major steps in conducting an actual inspection. • State the purpose of documenting all steps in an inspection. • Identify the point where an inspection ends and an investigation
begins • Explain the importance of establishing and maintaining the
professional rapport with those licensees being inspected
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome and Introductions Slide 1
05 Minutes Session Introduction Slides 2 – 6
05 Minutes Value and Purpose of Inspections Slides 7 – 9
20 Minutes Overview of Inspections Slides 10 – 18
10 Minutes Conducting an Inspection Slides 19 – 25
05 Minutes Inspection Reports Slides 26 – 27
05 Minutes The Role of Technology in Inspections Slides 28 – 29
05 Minutes Session Review Slides 30 – 35
Lesson 1: Value & Purpose of Inspections
Value of Inspections
Protects the publicAddresses complaintsPotential access to facilitiesValuable information sourceTool for investigators
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Purpose of Inspections
Inspections protect the health, safety and welfare of citizens by ensuring that businesses are in
compliance with all federal, state, and local laws and regulations pertaining to the operation of that
type of business.
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Lesson 2: Overview of Inspections
The Role of the Inspector
EnforcerPublic Relations RepresentativeEducator
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Authority to Conduct Inspections
Established by lawEstablished by rule or regulation Implied consent Inspection warrant
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
The Role of Technology in Inspections
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Directed Inspections
For LicensureRoutineRe-inspectionComplaint responseClosureProbation Joint
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Non-Directed Inspections
RoutineRe-inspectionComplaint responseClosureProbation Joint
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Health Inspections
GroundsPremisesEquipment ImplementsRefuse disposalPersonnel
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Safety Inspections
HazardsFire equipmentFire plansElectrical dangersProtective gearCommunicationsHazardous materials
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
The Role of Technology in Inspections
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Welfare Inspections
Operator license requirementsServicesSamplesPrice postingsAdvertisementsLicense displayFinancial accountability
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
The Role of Technology in Inspections
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Investigations Prompted by Inspections
Agency guidelines Infractions vs. violationsDegree of harmVoluntary vs. complianceNotification
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Lesson 3: Conducting an Inspection
Introduction and Initial Approach
Dress appropriatelyContact appropriate personExplain purpose of visitEstablish rapportMaintain control
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
The Role of Technology in Inspections
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Conducting the Inspection
ProcedureCheck list Interference with business
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
The Role of Technology in Inspections
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Conducting the Inspection
Results Pass FailOut of business Incomplete
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Conducting the Inspection
Corrective actionsVerbalOn-site correctionsReport notation
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Conducting the Inspection
Corrective actionsWritten citation InvestigationRefer for prosecution
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Exit Interview
Contact owner/managerExplain resultsPrepare for the futureRe-establish rapport
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
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Lesson 4: Inspection Reports
Inspection Reports
Types of reportsPurpose of reportsDistribution of reports
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
The Role of Technology in Inspections
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Lesson 5: The Role of Technology in Inspections
The Role of Technology
Reduces processing timeSchedulesRecords History Identifies Problems
Inspection/Investigation Procedures
Value & Purpose of Inspections
Overview of Inspections
Conducting an Inspection
Inspection Reports
The Role of Technology in Inspections
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Questions
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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)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 281 Course At‐a‐Glance 282 Report Writing 283
Course At‐a‐Glance
Goals Upon completion of the session, you will be able to:
Explain the purpose and importance of an investigative report Identify the three goals of an investigative report Identify the elements of grammatical style in an investigative report Identify the three sections of an organized investigative report Write a factual report that is accurate, logical, clear, concise,
complete, and objective
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome and Introductions Slide 1
15 Minutes Session Introduction Slides 2 – 5
15 Minutes Introduction to Report Writing Slides 6 – 9
120 Minutes Goals of Investigative Reports Slides 10 – 46
15 Minutes Processing Reports Slides 47 – 51
10 Minutes Session Review Slides 52 – 55
Lesson 1: Introduction to Report Writing
Introduction to Report Writing
Main source of communication between investigators and boards or prosecutorsCompilation of all your work as an investigatorReports should be written as you work your investigationMakes sure report is complete and accurateDocumenting information as soon as it is uncovered
ensures you won’t forget anything
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Ineffective Reports
Investigators sometimes fail to write effective reports. Here are some reasons why: Lack of report writing training Too many cases
Laziness or poor writing skills Inattention to detail Failure to use proper grammar
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Purpose of an Investigative Report
The purpose of an investigative report is to communicate the factual information gathered
during an investigation.
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Lesson 2: Goals of Investigative Reports Section 1: Factual & Objective
Factual and Objective Content
Accurate Basic purpose to describe people, events, or objects Inaccurate report is worthless and possibly dangerous
LogicalOrganization of data Exact words used to convey meaning
Clear Plain English Short, understandable sentences and paragraphs
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Factual and Objective Content
ConciseCompress information into the fewest words Brevity is appreciated by the reader
CompleteMake sure all facts are providedMake sure all information is factual, and has been
verified
Objective Be aware of, and avoid personal opinions and bias
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Section 2: Correct Grammatical Style
Specific vs. General
Three things to consider when writing an investigative report Precise word choiceConclusive wordsDescriptions
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Precise Word Choice
Specific words are understood to mean one thing onlyWife, husband, sister, or brother
General words can have a variety of meanings Spouse, or sibling
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Precise Word Choice
Three reasons for correct word choice Incorrect words cause mistakes in meaningReport success depends on selecting the best word to
describe a thing or event in exact termsCareless word choices confuse readers, seem
unprofessional
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Active vs. Passive Voice
Active VoiceThe doer of the action
comes first in the sentenceMore direct and clear
The officer at Gate 5B questioned the intruder.
Passive VoiceThe object being acted
upon or the actioncomes before the doer of the action
The intruder was questioned by the officer at
Gate 5B.
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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First Person vs. Third Person
First Person Preferred over third
person Flows better for readers
I saw the man walk away from the scene.
Third PersonDisplays distance
between the writer and the event
The writer of this report saw the man walk away from the
scene.
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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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
Conclusive Words
Convey information is factual and that author is certain of their claimsNever use unless absolutely certain information is factual
An exhaustive search was conductedThe agency made a total change in operating systems
after the incident I’m positive this is the last example
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Descriptive Words
Avoid abstract descriptors It was chilly
Use concrete descriptorsThe temperature was 54˚F
If using comparisons, use one the majority of people can understand
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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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
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.
Simple Writing
Sentence lengthConjunctionsPersonal pronounsQuotation marks
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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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
Proofreading
Check for: Basic spelling and grammarReadabilityAbility to be understood by a third party
Internal peer review
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Exercise: Importance of Proofreading
Aoccdrnig to rscheearch, it deosn't mttaer in wahtoredr the ltteers in a wrod are, the olny iprmoatnttihng is taht the frist and lsat ltteers be at the rghitpclae. The rset can be a toatl mses and you can sitllraed it wouthit porbelm. Tihs is bcuseae the huamn
mnid deos not raed ervey lteter by istlef, but the wrod as a wlohe."
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Exercise: Uncritical Inference Test
This test is designed to determine your ability to think accurately, and carefully.
Review the instructions with extreme care.
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
Work Sheet #4: Uncritical Inference Test
INSTRUCTIONS: This test is designed to determine your ability to think accurately and carefully. Read the instructions EXTREMELY CAREFULLY.
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.
Exercise: Uncritical Inference Test
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.
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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 ?
Exercise: Uncritical Inference Test
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.
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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 ?
Exercise: Uncritical Inference Test
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.
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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 ?
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 ?
Work Sheet #6: 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.
Work Sheet #6: 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.
Lesson 2: Professional Appearance
Organization and Format
Organize facts and materials before writingUse a logical, accurate sequence to arrange informationMinimum organization format contains: Introduction BodyClosing
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Chronological Sequence
Allow reader to follow factsFrom the beginning to the end, in the sequence of occurrenceDo no re-order facts and events simply to write a clean report
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Use of Paragraphs
One main thought per paragraphMaximum 7 to 8 sentences per paragraphFirst sentence identifies content of the paragraphLast sentence introduces the next paragraph
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Timelines
Effective way to break complex series of events into logical sequenceUse bullet points List date (and time if appropriate)Describe the event in chronological order
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Exercise: Self-Evaluation
Are your reports:CompleteConciseClearCorrect
How effective is your reporting?
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Work Sheet #7: Self Evaluation
Can you answer “yes” to the following questions about each report you write? Is your report:
1. Complete a. Does it give all necessary information? b. Does it answer all questions the reader may raise?
2. Concise a. Does it contain only essential facts? b. Does it include only essential words and phrases?
3. Clear a. Is the language adapted to the readers? Are the words the simplest that carry the
thought? b. Do the words exactly express the thought? c. Is the sentence structure clear? d. Does each paragraph contain only one main idea? e. Are these ideas presented in the best order?
4. Correct a. Is the information accurate? b. Do the statements conform to policy? c. Is the writing free of grammatical, spelling, and punctuation errors?
How effective is your reporting?
1. Is it unsatisfactory – needing revision? 2. Is it passable – containing weaknesses, but good enough to get by? 3. Is it fully satisfactory – does it, thoroughly and directly, get your ideas across?
Lesson 3: Processing Reports Section 1: When to Complete a Report
When to Complete a Report
Write as you goAfter conducting an interview, write up the section of
your report pertaining to the interviewCollect evidence, write about the evidence
Memory is fallible Even notes can lose meaning over time
You can discover missing information and possible leads when writing the report
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Section 2: Report Distribution and Disposition
Report Distribution & Disposition
Distribute, retain, and destroy reports in accordance with agency policyKeep a copy for your records, send a copy to ultimate finder of factKeep your copy until the case is closed Be mindful of appeal time frames
Report Writing
Introduction to Report Writing
Goals of Investigative Reports
Processing Reports
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Questions
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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)
Table of Contents
In this Participant Guide
This Participant Guide includes the following topics.
Topic See Page
Table of Contents 1
Course At‐a‐Glance 2
Testifying in Administrative and Criminal Proceedings 3
Course At‐a‐Glance
Goals Upon completion of the session, you will be able to:
• Define the role of the prosecutor or administrative legal representative during a hearing
• Define the role of the defense attorney during a hearing • Define the role of the witness during a hearing • Identify the first rule of testifying • Recognize that preparation begins with a proper investigation and
report • Illustrate the components of preparation for delivering testimony
Overview The table below provides a quick overview of this course including what’s covered
in each lesson, the estimated time for each, and the supporting instructional media required.
Duration Content Media
05 Minutes Welcome and Introductions Slide 1
05 Minutes Session Introduction Slides 2 – 5
05 Minutes Testifying as an Investigator Slides 6 – 7
05 Minutes Common Uses of Investigator Testimony Slides 8 – 9
30 Minutes When and Why do you Testify? Slides 10 – 21
15 Minutes Prepare for a Hearing Slides 22 – 26
30 Minutes Best Witness Testimony Slides 27 – 36
20 Minutes Avoid Landmines Slides 37 – 43
05 Minutes Session Review Slides 44 – 49
Lesson 1: Testifying as an Investigator
Critical Component of Investigator Duties
Ability to relate what occurred during an investigation Investigator’s professional qualities placed under scrutiny Evidence gatheringReport writing Past case work
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Lesson 2: Common Uses of Investigator Testimony
Common Uses of Investigator Testimony
Investigator as a main witness summarizing evidence Investigator as impeachment witness Investigator introducing testimony on specific exhibits, statements made to them, or other specific investigative results
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Lesson 3: When and Why do You Testify? Section 1: Depositions
Definition of a Deposition
Form of discovery Typically takes place outside a courtroomThe judge is not present for a depositionAttendees include:Witness to be deposedCounsel for both partiesWitness to the proceedings
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Components of a Deposition
Witness placed under oathCounsel asks questionsObjections by opposing counsel allowed Preserves the issue for later reviewWitness must still answer question unless protected by
privilege
Longer than a hearing and covers more materialRecorded by court reporter, or video
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Takeaway Concept
A deposition is not a practice run for the hearing –it can control the outcome of the case. Prepare for a
deposition the same way that you prepare for a hearing.
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Section 2: Hearings
Definition of a Hearing
Presents evidence to the finder of factEvidentiary hearings are similar to civil trialsMost hearings open to the publicSequestration order possible
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Key Participants
Board AttorneyAttorney for Regulant/LicenseePresiding Officer
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Components of a Hearing
Direct ExaminationQuestions asked by counsel who places witness on the
standCounsel asks non-leading questions
Cross ExaminationQuestions asked by opposing counselAllowed to use leading questions Limited to topics introduced during direct examination
and credibility issues allowed by law
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Components of a Hearing
Re-directAllows original counsel opportunity to follow up on
testimony offered during cross examinationAllows witness to clarify statements and complete
answers otherwise not permitted during cross examination
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Video: True Grit
Video Length: 6 minutesVideo Content: Direct and Cross Examination of Marshal Rooster Cogburn
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Video: My Cousin Vinnie
Video Length: 20 MinutesVideo Content: Opening statementsDirect examination and redirect of three key
eyewitnesses Expert witness testimony
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Lesson 3: Prepare for a Hearing
Understand Your Role
Project confidence without overconfidenceBe the most credible witness to testify Be objective Be impartialTell the truth
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Prepare to Meet Goals of Testifying
Know the charges filedKnow the evidence collectedKnow the statements made to you relevant to charges
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Professional Dress and Demeanor
Business Dress attireProper postureAppropriate mannerisms/gestures
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Evaluate Your Performance
How do you think you did?How does counsel think you did? Is there room for improvement for next time?
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Lesson 4: Best Witness Testimony
Skills for Witness Testimony
Listening skillsSpeaking skillsProfessional attitudeAttention to detailScrupulous honesty
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Rules for Witness Testimony
Prepare yourself mentally and physicallyDocument with notes and a reportReview notes/reportMeet or talk with prosecutor, attorney, or hearing officerAlways be objective
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Present Testimony Truthfully and Effectively
Answer truthfullyAnswer only the questions asked, do not volunteer informationPause and think before answeringClarify any unclear questions
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Present Testimony Truthfully and Effectively
Admit lack of knowledgeGive the best present recollection of the factsTestify spontaneouslyDo not memorize testimonySpeak in plain, everyday language
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Create a Favorable Impression
Stay calmDress conservatively and pay attention to your appearanceTell your attorney about physical disabilitiesAvoid nervous gestures; make eye contactAvoid discourteous or disrespectful behaviourObserve courtroom etiquette
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Come to Court Prepared
Review the factsReview documentsReview prior statementsApproximate times and distancesRevisit the scene
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Good Courtroom Demeanor
Direct attention to counsel while he/she is asking you questions.Direct answers to either the judge, jury or hearing officer.Speak loudly and clearly enough to be heard throughout the courtroom/hearing room.The answers should be as clear and concise as possible.
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Good Courtroom Demeanor
Be fair and impartial in testifying.Do not avoid a question or distort an answer.Do not hesitate to correct any honest mistake you made while testifying. If asked to turn your notes over to counsel for examination, do not hesitate to do so. It is better not to have notes with you on the stand.
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Good Courtroom Demeanor
Show equal respect for counsel of both parties.Expect reflections on your character and credibility and do not let them bother you.Opposing counsel may try to cause you to lose your temper. Do not let this happen.You are only a witness and not on trial.
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Lesson 5: Avoid Landmines
Landmines of Testimony
Taking cross examination personallyMisunderstanding the role of cross examinationFighting or arguing with counselFailing to think before you speakAnswering more than was asked
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Section 1: Common Hearing/Courtroom Objections
Objections to Content of the Question
AmbiguousHearsay Incompetence Irrelevance/ImmaterialSpeculative
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Objections to Form of the Question
LeadingMisstating the evidence
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Objections to Inadequate/Unresponsive Answer
Unsatisfactory InadequateUnresponsive
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Objections to Lawyer Conduct
ArguingRepeating questionsEmbarrassing the witness
Testifying in Administrative Proceedings
Testifying as an Investigator
Common Uses of Investigator Testimony
When and Why do You Testify?
Prepare for a Hearing
Best Witness Testimony
Avoid Landmines
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Questions
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