NATIONAL CERTIFIED INVESTIGATOR INSPECTOR TRAINING …

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





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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





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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





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Self-Assured, Confident

Supervisor expectationsSocietal expectationsBe at ease in stressful situationsReflect confidence in yourself and your abilities





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





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





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





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





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Lesson 2: 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





Motivation

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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





Motivation

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ExpertiseKnow the subject matter being questioned Specialist vs. GeneralistGet technical assistance when needed Continuing education

AptitudeDepartments should have standards for professional investigators





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





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





Motivation

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Ethics

The success of every aspect of the investigative process depends on the professional integrity of

the individual investigator.





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





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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





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Examples of Conflicts of Interest

Personal benefit/Self-dealingOutside employmentFamily interestsGifts and gratuitiesOther types of possible inappropriate conflicts





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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





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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





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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





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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





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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





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Using confidential information for the economic benefit of yourself, or another personAccepting payment that may influence the performance of official duties





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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





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Lesson 4: Motivation

Motivation

Catalyst for actionYou are a professional and must be self-motivatedMotivation is needed every day





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REGULATION


BASIC PROGRAM: Principles of Administrative Law and the Regulatory Process PARTICIPANT GUIDE


Table of Contents



Topic See Page

Table of Contents 35 Course At‐a‐Glance 36 Principles of Administrative Law and the Regulatory Process 37



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






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


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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Procedural vs. Substantive AuthorityDifferences from Civil and Criminal Law








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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








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Lesson 2: 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








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Other reasons for Administrative Agencies Population increase Expansion of government responsibilityNeed for flexibilityDevelopment of expertise in dealing with particular

issues Legislative inability Judicial inability








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Lesson 3: The Regulatory Process

The Regulatory Process - Definitions

Law (Statute): A written provision passed by a legislative body.








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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.








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Guidance DocumentPolicy Memoranda or Documents








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Statutory Authority

An administrative agency is a creature of statute and is only entitled to act within the jurisdiction

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Statutory Authority

Powers of Administrative Agencies Legislative Power Executive Power Judicial Power








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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.








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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.








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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








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Board Composition

Varies greatly from jurisdiction to jurisdictionOften includes both professionals and public or “consumer” members








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Types of Agencies

Autonomous BoardsCentralized AgenciesSemi-Autonomous Agencies/Boards








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Lesson 5: Limits on Administrative Agencies

Four Limits on Administrative Agencies

Legislative

Executive

APA

General Controls








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Legislative

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General Controls

Initial grant of authorityReport and Wait procedureRevoke or narrow authority granted through legislationSunset law Interim oversightAuthorization for appropriationsAnnual/biennial report








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Executive

Legislative

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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








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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








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General Controls on Administrative Agencies

Legislative

Executive

APA

General Controls

Open meeting lawsFreedom of Information Act (FOIA)OmbudsmanProsecutorial DiscretionAgency Discretion








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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








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Summary Suspensions

Summary SuspensionAllowed by statute or regulation Showing a degree of harm to the publicRequires due process








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Informal Hearings

Alternative Dispute Resolution/MediationMediationArbitration








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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








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Formal Hearings

Basic requirements of the proceeding:NoticeDiscovery Present/Contest EvidenceWritten DecisionAppeal Rights








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Issues Related to Adjudication

Interagency AgreementsReferral of cases for criminal action or unlicensed activity








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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








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REGULATION


BASIC PROGRAM: Investigative Process

PARTICIPANT GUIDE


Table of Contents



Topic See Page

Table of Contents 67 Course At‐a‐Glance 68 Investigative Process 69



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.






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


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



Complaint Analysis


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)



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


Execution

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Complaint Analysis

The Intake InvestigationPeer ReviewExpert Assistance Jurisdictional IssuesOverlapping Jurisdictions Levels of Jurisdiction



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


Execution

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Jurisdictional Issues

Investigators will face overlapping jurisdictional issues In complaint analysis stage In investigation stage



Complaint Analysis


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



Complaint Analysis


Execution

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Interagency Relations

Characteristics of Law Enforcement PersonnelCompetitiveCooperative Suspicious PersuasiveAssertive



Complaint Analysis


Execution

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Behavior of IndividualsResult of StimulusOfficials Play Roles Predictable



Complaint Analysis


Execution

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Interfacing with Agencies Seek agencies with similar jurisdictionsAvoid “Turf Battles”Avoid Criticism Positive InfluencesRemember the Goal: Cooperation



Complaint Analysis


Execution

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Lesson 4: 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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


Execution

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Case Development Issues Directly Related to Complaint

ElementsSources of InformationWitnessesLegal InstrumentsCollect and Maintain EvidenceExpertsProblems



Complaint Analysis


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.



Complaint Analysis


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.



Complaint Analysis


Execution

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Case Development Issues Indirectly Related to Complaint

Priority AssignmentsCostsGeographic ConsiderationsStaff Training/Talent/Skill LevelsBoard Rules and Policy



Complaint Analysis


Execution

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Selection of Investigative Method

Field/Central Office InspectionUse of Experts or ConsultantsUndercover (covert) vs. Direct (overt)



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


Execution

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Investigative Plan

Number of InterviewsRecordsUnusual CharacteristicsCovert vs. Overt InvestigationSpecial Assistance



Complaint Analysis


Execution

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Investigative Planning Resources

PersonnelMaterials RequiredFinancial Resources



Complaint Analysis


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



Complaint Analysis


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



Complaint Analysis


Execution

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Questions

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REGULATION


BASIC PROGRAM: Investigator Safety

PARTICIPANT GUIDE


Table of Contents



Topic See Page

Table of Contents 113 Course At‐a‐Glance 114 Investigator Safety 115



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.






10 Minutes Safety Survey Slides 5 – 9

15 Minutes Confrontational or Threatening Situations Slides 10 – 15

15 Minutes De‐Escalation Techniques Slides 16 – 23


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


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



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Awareness of Others

Observe and interpret emotional and physical behaviorBehavioral Based AnalysisRemember who they are

Investigator Safety

Safety Survey



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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



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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



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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



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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



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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



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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



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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



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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



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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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Questions

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REGULATION


BASIC PROGRAM: Principles of Evidence

PARTICIPANT GUIDE


Table of Contents



Topic See Page Table of Contents 131

Course At-a-Glance 132 Principles of Evidence 133

Course At-a-Glance


• 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.



Duration Content Media 05 Minutes Welcome and Introductions Slide 1


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



Forms of Evidence



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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.



Forms of Evidence



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Lesson 2: Classifications of Evidence


Two main classifications of evidence

Direct

Circumstantial



Forms of Evidence



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Direct Evidence

Eyewitness

Other Forms – i.e. photos, records

Photographs

Records

Signed Statements



Forms of Evidence



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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



Forms of Evidence



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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



Forms of Evidence



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Lesson 3: Forms of Evidence

Forms of Evidence

Real Evidence

Testimonial Evidence

Demonstrative Evidence

Judicial Notice/Stipulations



Forms of Evidence



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Real Evidence

Documentary Evidence

Example: Email communications

Physical Evidence

Example: A gun

Scientific Evidence

Example: Lab test results



Forms of Evidence



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Personal knowledge is

generally required

Must testify under oath

or affirmation

Two main types of

witnesses

Lay Witnesses

Expert Witnesses



Forms of Evidence



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Lay Witnesses

Generally, only allowed to testify to facts they observed

No opinions, unless they apply to observable facts like

appearance, handwriting, or behavior



Forms of Evidence



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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



Forms of Evidence



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Used to support testimonial

evidence

Makes evidence more

understandable to the trier of

fact

Examples include:

Maps

Photos

Diagrams



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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



Forms of Evidence



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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



Forms of Evidence



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



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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



Forms of Evidence



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Examples of Privileges

Physician-Patient privilege

Clergyman-Penitent privilege

Marital

Attorney-Client privilege

Other Relationships

Trade Secrets



Forms of Evidence



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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



Forms of Evidence



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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



Forms of Evidence



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Hearsay Exercise

Exercise: Telephone

Purpose: to

demonstrate the

unreliable nature of

hearsay


Classif ications of Evidence

Forms of Evidence


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



Forms of Evidence



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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



Forms of Evidence



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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



Forms of Evidence



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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



Forms of Evidence



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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



Forms of Evidence



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Questions

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REGULATION


BASIC PROGRAM: Evidence Collection, Tagging, and Storage

PARTICIPANT GUIDE


Table of Contents



Topic See Page

Table of Contents 163 Course At‐a‐Glance 164 Evidence Collection, Tagging, and Storage 165



Identify the proper techniques for gathering evidence in different types of investigations.

Identify the proper methods for maintaining the chain of custody.






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


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


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



Obtaining Evidence


Practical Exercises

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Possible Sources

SearchesBehavior Generated EvidenceSurveillance/Undercover Operation Individuals, Business or GovernmentDatabasesScientific EvidenceDemonstrative EvidenceCommonly Forgotten Sources



Obtaining Evidence


Practical Exercises

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Searches

Legally authorized

Planned

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Methodical

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Obtaining 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



Obtaining Evidence


Practical Exercises

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Surveillance

Undercover/covert vs. Overt Planning is criticalDuration- what is the objective?Use of electronics



Obtaining 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



Obtaining 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



Obtaining 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



Obtaining Evidence


Practical Exercises

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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



Obtaining 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



Obtaining Evidence


Practical Exercises

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Section 1: Electronic Communication and Electronically Stored Records

Electronic Communications

Electronic mailText messaging Instant messagingSocial media



Obtaining 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



Obtaining 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



Obtaining Evidence


Practical Exercises

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Lesson 3: Maintaining Evidence

Preserving Identity

MarkingTaggingSealing and Labeling Identification



Obtaining 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



Obtaining Evidence


Practical Exercises

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Consequences of Poor Procedure orPractice

Unavailable EvidenceUnauthenticated EvidenceDamaged Evidence



Obtaining Evidence


Practical Exercises

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Disposition of Unneeded Evidence

Is the case closed?Are there other related cases?Return evidence, if permitted



Obtaining 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.


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.


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


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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REGULATION


BASIC PROGRAM: Interviewing Techniques PARTICIPANT GUIDE


Table of Contents



Topic See Page

Table of Contents 201 Course At‐a‐Glance 202 Interviewing Techniques 203



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




05 Minutes Welcome Slide 1


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


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





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Evaluating responsesWhat is being saidHow it is being said

Emotional controlMaintain professionalismDemonstrate self-control while under attack

CuriosityMain job is to garner information





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





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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





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Interpersonal Skills

ProfessionalismApproachabilityRespectfulnessSincerity





Tips & Techniques

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Professionalism

Always show unbiased and professional conduct throughout an investigationEverything you do should enhance your and your department’s reputations





Tips & Techniques

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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





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





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





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





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?





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





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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





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





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





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





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





Tips & Techniques

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Notes and Recordings

Legal issuesAuthority concernsRequirements of recordingMaintenance of recordings

Practical issuesResources availableTake notes as backup





Tips & Techniques

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Timing

Timing of InterviewsTime to incidentTime of day Scheduling of interviews

Subject InterviewGenerally done last





Tips & Techniques

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Location

PrivateNeutralMinimize distractions





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Location

LightingSeatingType Placement





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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





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





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





Tips & Techniques

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Section 2: Conducting Interviews

Introductions and Identifications

IntroduceYourself IntervieweeAdditional people in the room

Establish report





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





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





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





Tips & Techniques

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Concluding the Interview

Summarize and verifyAdditional informationAdditional leadsReleases, statements, and evidenceRe-establish rapport





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





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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





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





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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





Tips & Techniques

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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





Tips & Techniques

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Credibility

Probe Basic Probe Repeat Probe Echo Probe





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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





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…





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





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





Tips & Techniques

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Interviewer Behavior

Body Language

Speech

Preparation

Questions

Predeterminations

Interview Control





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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





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





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





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





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





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





Tips & Techniques

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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





Tips & Techniques

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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





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





Tips & Techniques

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Questions

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REGULATION


BASIC PROGRAM: Overview of Inspection Procedures

PARTICIPANT GUIDE


Table of Contents



Topic See Page

Table of Contents 257 Course At‐a‐Glance 258 Overview of Inspection Procedures 259



• 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






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


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

The Role of Technology in Inspections

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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

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Lesson 2: Overview of Inspections

The Role of the Inspector

EnforcerPublic Relations RepresentativeEducator





Inspection Reports


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Authority to Conduct Inspections

Established by lawEstablished by rule or regulation Implied consent Inspection warrant





Inspection Reports


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Directed Inspections

For LicensureRoutineRe-inspectionComplaint responseClosureProbation Joint





Inspection Reports


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Non-Directed Inspections

RoutineRe-inspectionComplaint responseClosureProbation Joint





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Health Inspections

GroundsPremisesEquipment ImplementsRefuse disposalPersonnel





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Safety Inspections

HazardsFire equipmentFire plansElectrical dangersProtective gearCommunicationsHazardous materials





Inspection Reports


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Welfare Inspections

Operator license requirementsServicesSamplesPrice postingsAdvertisementsLicense displayFinancial accountability





Inspection Reports


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Investigations Prompted by Inspections

Agency guidelines Infractions vs. violationsDegree of harmVoluntary vs. complianceNotification





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 Reports


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Conducting the Inspection

ProcedureCheck list Interference with business





Inspection Reports


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Results Pass FailOut of business Incomplete





Inspection Reports


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Corrective actionsVerbalOn-site correctionsReport notation





Inspection Reports


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Corrective actionsWritten citation InvestigationRefer for prosecution





Inspection Reports


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Exit Interview

Contact owner/managerExplain resultsPrepare for the futureRe-establish rapport





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Lesson 4: Inspection Reports

Inspection Reports

Types of reportsPurpose of reportsDistribution of reports





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Lesson 5: The Role of Technology in Inspections

The Role of Technology

Reduces processing timeSchedulesRecords History Identifies Problems





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Questions

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REGULATION


BASIC PROGRAM: Report Writing

PARTICIPANT GUIDE


Table of Contents



Topic See Page

Table of Contents 281 Course At‐a‐Glance 282 Report Writing 283



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






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


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


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



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



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



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



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



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



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



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



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



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



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



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



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



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



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.


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



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 ?


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



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 ?


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



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



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



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



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



Processing Reports

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Exercise: Self-Evaluation

Are your reports:CompleteConciseClearCorrect

How effective is your reporting?

Report Writing



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



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



Processing Reports

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Questions

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REGULATION


BASIC PROGRAM: Testifying in Administrative and Criminal Proceedings

PARTICIPANT GUIDE


Table of Contents



Topic See Page

Table of Contents 1

Course At‐a‐Glance 2

Testifying in Administrative and Criminal Proceedings 3



• 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






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


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


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







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







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







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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.







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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







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Key Participants

Board AttorneyAttorney for Regulant/LicenseePresiding Officer







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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







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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







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Video: True Grit

Video Length: 6 minutesVideo Content: Direct and Cross Examination of Marshal Rooster Cogburn







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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







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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







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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







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Professional Dress and Demeanor

Business Dress attireProper postureAppropriate mannerisms/gestures







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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?







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Lesson 4: Best Witness Testimony

Skills for Witness Testimony

Listening skillsSpeaking skillsProfessional attitudeAttention to detailScrupulous honesty







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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







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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







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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







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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







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Come to Court Prepared

Review the factsReview documentsReview prior statementsApproximate times and distancesRevisit the scene







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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.







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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.







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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.







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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







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Section 1: Common Hearing/Courtroom Objections

Objections to Content of the Question

AmbiguousHearsay Incompetence Irrelevance/ImmaterialSpeculative







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Objections to Form of the Question

LeadingMisstating the evidence







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Objections to Inadequate/Unresponsive Answer

Unsatisfactory InadequateUnresponsive







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Objections to Lawyer Conduct

ArguingRepeating questionsEmbarrassing the witness







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NATIONAL CERTIFIED INVESTIGATOR INSPECTOR TRAINING …

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Transcript of NATIONAL CERTIFIED INVESTIGATOR INSPECTOR TRAINING …