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COMPONENTS OF THE INVESTIGATIVE PROCESS

COMPONENTS OF THE INVESTIGATIVE PROCESS. ANALYSIS. PLANNING. EXECUTION. INTAKE. INTAKE. Hall of Justice. Complaint Intake. DEFINITIONS. COMPLAINT COMPLAINT (LEGAL). DEFINITIONS. ALLEGATION VIOLATION INQUIRY. DEFINITIONS. JURISDICTION interpret apply. DEFINITIONS.

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COMPONENTS OF THE INVESTIGATIVE PROCESS

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  1. COMPONENTS OF THE INVESTIGATIVE PROCESS ANALYSIS PLANNING EXECUTION INTAKE

  2. INTAKE Hall of Justice Complaint Intake

  3. DEFINITIONS • COMPLAINT • COMPLAINT (LEGAL)

  4. DEFINITIONS • ALLEGATION • VIOLATION • INQUIRY

  5. DEFINITIONS JURISDICTION • interpret • apply

  6. DEFINITIONS • LEGALLY SUFFICIENT COMPLAINT • facts as alleged, if shown to be true, would constitute a violation.

  7. SOURCES • Consumer • Other professional licensees • Media • Anonymous • Attorney representing complainant

  8. STANDARD OF ACCEPTANCE • Is the complaint jurisdictional ? • Is the complaint legally sufficient ? • Does the complainant have standing ?

  9. Complaint information statutory written oral Method of Receipt centralized de-centralized Recordation of information formal informal OTHER INTAKE ISSUES

  10. COMPONENTS OF THE INVESTIGATIVE PROCESS ANALYSIS INTAKE

  11. COMPLAINT ANALYSIS • Conduct preliminary inquiry into the alleged circumstances • Consult other investigators • Have complaint reviewed by senior personnel or legal advisor

  12. INTAKE REVI EW Hall of Justice

  13. PEER REVIEW Facts: Issues: FILE

  14. EXPERT ASSISTANCE

  15. JURISDICTION • Levels Overlapping

  16. What agency takes precedence ? • Who directs the investigation ? • Who has final decision-making authority ? • Does participation in the investigation violate your statutes, rules or jurisdictional limits ?

  17. COMPONENTS OF THE INVESTIGATIVE PROCESS ANALYSIS PLANNING INTAKE

  18. ROLE OF THE INVESTIGATOR • Proper review of the complaint • Power and authority

  19. INVESTIGATIVE PLAN • Format is another word for organization and structure • Don’t focus on style, focus on substance • Format should be a plan with goals and benchmarks

  20. THE FIVE W’S • WHO ? • WHAT ? • WHERE ? • WHEN ? • WHY ?

  21. CASE DEVELOPMENT QUESTIONS Allegations Laws He did it Evidence not do it He did

  22. DIRECTLY RELATED • Allegations? • Law/Regulation? • Evidence?

  23. #1 Abandonment without a legal excuse.

  24. #2 Abandonment or the intentional and unjustified failure to complete work contracted for. Unjustified cessation of work under a contract for a period of thirty days or more shall be considered evidence of abandonment.

  25. #3 Actions constitution misrepresentation or omission or both includes: 6. Any misrepresentation.

  26. #4 Making any representation or making a false promise of a character likely to influence, pursuade or induce.

  27. #5 Misconduct in the practice of his profession or gross nelgligence or continued incompetence.

  28. #6 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.

  29. #7 Permitting or condoning the placement or exposure of dental x-ray film by an unlicensed person, except where the unlicensed person has complied with exemption provisions.

  30. #8a Performing services for a patient under terms or conditions which are unconscionable.

  31. #8b The board shall not consider terms unconscionable where there has been full and fair disclosure of all terms and where the patient entered into the agreement without fraud or duress

  32. #9 Failing to provide expedient, reliable and dependable services when requested by a client or a client’s guardian.

  33. #10 Falsifying or otherwise altering patient or employer records

  34. #11 Having been convicted in any jurisdiction of a misdemeanor involving moral turpitude, sexual offense, drug distribution or physical injury on any felony

  35. DIRECTLY RELATED • Elements of a violation? • Sources? • Witnesses? • Legal instruments? • Collection/ Maintenance • Expert? • Problems?

  36. BURGLARY • “The breaking and entering, of a dwelling, of another, in the night time, with the intent of committing a felony.”

  37. INDIANA PESTICIDE USE AND APPLICATION LAWIC 15-3-3.6-14(9a) • “Engaged in or profess to be engaged in the business of applying pesticides for hire, on the property of another, without having an Indiana Pesticide Business License.”

  38. INDIRECTLY RELATED • Priority of staff assignments • Costs • Geographic concerns • Training and skill • Governing regulations

  39. INVESTIGATIVE TOOLS • Required reports and records • Inspections • Subpoena • Search Warrants • Investigative Hearings • Demand Letter • Interviews

  40. Primary- Investigator Second- Complainant Third- Respondent Fourth- Witnesses Fifth- Public Records Sixth- Private Records SIX BASIC SOURCES

  41. RESOURCES • Review of investigative plan • Personnel • Materials required • Financial resources

  42. COMPONENTS OF THE INVESTIGATIVE PROCESS ANALYSIS PLANNING EXECUTION INTAKE

  43. EXECUTION • Flexibility • Activity based • Prosecution requirements • Agency policies • Statutory mandates

  44. THANK YOU

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