The Main Stages of an Effective Investigation FCO Conference January 23, 2012 Toronto

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

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

Attributes… Independent - the review body and the reviewer are independent from the matter under review, the subject(s) of the review and the complainant Duly authorized- the review body and the reviewer have the authority to conduct and complete the review and offer resolution Resolution -problem solving and not fault finding Recommendation -the review does not impose decisions but offers resolution through recommendation

Investigations can be… Resource heavy Time consuming Impact credibility But may not be the bulk of your work….

2010 Statistics Top Complaint Areas Social Services 746 Corrections SGI WCB Justice Health* *Ministry of Health, Health Regions and Sask. Cancer Agency combined Complaints Within Jurisdiction2,130 Complaints Outside Jurisdiction1,013

Service Method 60% were resolved at intake 25% were resolved at early resolution 15% were move to formal reviews

Types of Investigations Evidence-focussed -inquires which seek to pursue all lines of inquiry in a way that will meet all legal and procedural requirements particularly when the outcome is adverse in interests to the parties involved. Problem-focussed -“primarily directed at quick” identification and resolution. These reviews may include some evidence-focussed techniques but they seek to only obtain sufficient information for a fair and informal judgement to be made about the issues in question particularly where those issues relate to policies, procedures and or practices. Source: NSW Ombudsman

Early Resolution Within jurisdiction Initiated by a complaint Single issue Time limited (3-6 contacts completed with 30 days) Directed at the quick identification of the problem and potential resolution Obtains only sufficient information from the parties to allow for a fair and informed assessment of the issues.

Formal Reviews Within jurisdiction Complaint initiated or own motion Notification required Involves multiple and complex issues The complaint is of a serious and or significant nature There is no clearly indentified solution Involves a matter where the government agency has consistently failed to address issue Involves issues that are in the public interest Can generate recommendations

An Investigation may not be appropriate… The complaint is too old Your mandate or operational policy provides time limits The issues would be better dealt with by another competent oversight body There are other appeal or review mechanisms available There is an alternative means of redress or dispute resolution

Type will depend on….. the nature and seriousness of the complaint any statutory requirements or procedural obligations outlining the type of investigation required the likely outcome of your review based on the outcome whether or not recommendations will be generated The historical involvement your office may have had in the past with an issue

Investigative process involves “ collecting, processing, reporting, storing, recording, analysing, evaluating, producing and disseminating authorized information” Source: Oxford Dictionary US Military

Six Stages of an Investigation 1.Case Assessment and Issue Identification 2.Developing an Investigation Plan 3.Interviewing 4.Gathering documents and other relevant information 5.Analysing the information 6.Report writing

Proper Issue Identification will… Ensure all the relevant issues are identified Avoid Issue Creep Avoid Mandate Creep Keep the investigation moving forward

Issues Must Be… Relevant Clear and Concise Addressed in the analysis Reported out on

Stage One Case Assessment and Issue Identification Tasks Clear identification of the issues to be reviewed  Assess the information  Clearly identify the investigative issues  Identify when investigations should be concluded at the assessment stage  Identify situations appropriate for alternative review processes  Refer matter, if appropriate, to alternative oversight review  Identify situations where alternative dispute resolution service methods are more appropriate  Refer for ADR or provide ADR

Three Sides of Fairness

Stage Two Building an investigative planTasks Develop your investigation/review strategy  Determine the level of formality of the investigation  Provide Notification to the parties (if required)  Conduct research to gain subject matter knowledge  Identify objective criterion you will use to assess facts  Identify persons to be interviewed, documents to request  Determine if you need additional advice or subject matter expertise  Identify resources you require to carry out the investigation  Prioritize tasks  Organize tasks  Set realistic time frames  Determine who is to get feedback, how, and what type of feedback  Revisit the plan as necessary (reassess plan— ongoing)

Why Investigations Fail More Investigations suffer in terms of quality because of poor investigative planning (NSW Ombudsman)

Good Planning helps to… Establish an overall approach and focus Indentify all relevant issues, including any systematic issues Identify all sources of information and ensures all relevant information is gathered and considered Identify any problems or concerns and outlines a strategy to deal with them Identify the necessary resources Ensure resources are used efficiently Assist in timeliness

Plans should be… Written prior to beginning inquiries Written in a logical and clear format Detailed Flexible Transferable if required

Stage Three InterviewingTasks Identifying who was involved and or who can provide information and assistance to your review  Determine who you will interview, how (by phone, in person, questionnaire or other methods), when, and where and what they can tell you  Determine if you need to speak to subject matter experts  Develop an interview schedule  Develop interview questions prior to the interview—interviews should follow a logical format, allowing the information to flow forward within the structure of the interview  Determine how information will be recorded or documented (interview schedule, statements, etc.)

Who do I interview? Those who may have relevant information about the issue under review The goal of interviewing is to gather sufficient and credible information that will allow you to “assess the merits of the issue in conjunction with other sources of evidence” Source: Ombudsman Ontario

Interview Schedule PersonPositionCAN SAYDate to be interviewed Method of interview Mary SmithcomplainantWas cut off SAP Filed appeal at RAC/SSAB Lost appeal June 1, 2011In person List who you will speak to, their position, how they are connect to the complaint/issue, in what order you plan to interview, what they may be able to tell you and the method of interview

Person Interviewed PersonPositionDate interviewed Method of interview Mary SmithcomplainantJune 1, 2011In person

Method Of Interviews In Person Telephone E Mail Questionnaire Video Conferencing

Method will depend on… Seriousness of allegation How close the person was or is to issue under review If the person was a decision maker or in a decision making capacity Any vulnerability issues Language barriers Cultural considerations Cost and time

Interviews Questions… Open Ended Simple (single concepts) Concise Non accusatorial Offered in a logical format

Support Persons Deal with it before the interview Inform the interviewee when arranging for the interview if a support person can or cannot be present If one can be present the role of the support person in the interview (support only)

Support Persons When you begin the interview –reaffirm with the individual that they have requested a support person to be present and why (if known) –ask if they still want the support person present (often they will say no its ok…they simply needed support to get through the door of the interview) –clearly identify to the support person prior to beginning their interview your expectations –invite them to ask questions but only at the end of the interview

Gathering Information Gathering information and reviewing information obtained (evidence) Tasks Identifying and obtaining the necessary information  Review past cases within your own organization-has your organization dealt with similar case if so what was the outcome and determine if recommendations were made  Determine what documents and information you need and how you will access the information  Obtain relevant documents and information  Determine how you will organize documents and information through a document schedule or other form of record keeping  Inspect and gather physical evidence  Summarize document/ information  Indentify gaps in information  Address gaps

Relevancy Does the information directly and clearly relate to the issue under review? Is the information of substantive importance to the issue under review? Are the information and the source of the information competent and credible?

Managing the paper Name of docType/SummaryAuthor/ position Date RequestedMethod retrieved/date received Develop a document schedule –To manage –To organize –To retrieve

Analysing the information Analyzing informationTasks Reaching a conclusion  Determine the objective test/guide you will use  Use the objective test/guide to assess the facts against the objective criterion/guide- (legislation, regulations, policies, best practices, administrative fairness principles)  Weigh the evidence/information  Link the facts to the information  Draw conclusions based on the evidence as assessed through the objective standard

Report Writing Tasks Report writing  Determine your report format  Organize your information  Summarize the information in the prescribed format  Write the report in a concise manner using plain language and avoiding jargon  Review final report for bias and remove any offending sections, sentence or phrases.