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Phase 3: Conduct the Investigation Writing the Report Enabling Learning Objectives

Slide 3. . Phase 3: Conduct the Investigation Complaint Resolution Procedure . . . . . Phase 4Post-Investigation. . . . . Phase 2Plan the Investigation. . Phase 1Pre- Investigation. . Phase 3Conduct theInvestigation(Writing the Report). Slide 4. Phase 1: Pre-Investigation Receive th

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Phase 3: Conduct the Investigation Writing the Report Enabling Learning Objectives

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    1. Slide 1

    2. Slide 2 Explain the purpose and characteristics of an Investigation Report Write a report using the correct report format Describe when to use an Investigation Report vice the Letter Report format Phase 3: Conduct the Investigation Writing the Report Enabling Learning Objectives

    3. Slide 3 Phase 3: Conduct the Investigation Complaint Resolution Procedure

    4. Slide 4 Phase 1: Pre-Investigation Receive the Complaint Analyze the Complaint Draft the Allegation(s) Determine the Action Notify the Complainant Phase 2: Plan the Investigation Assign the IO Mentor the IO Prepare & Maintain the Plan Phase 3: Conduct the Investigation Gather Information Interviewing Write the Report Phase 4: Post - Investigation Conduct Quality Review of the Report Notify Complainant & Subject Prepare the Case File for Closing Naval Inspector General Complaint Resolution Procedure 20-Jan-0520-Jan-05

    5. Slide 5 Basis for judging the investigation Provides responsible authority information they need to make a decision Purpose of an IR

    6. Slide 6 Tells a Story Who, What, When, Where, Why, How Allegations written in proper format Clear, accurate, and complete Facts Correct standards (rules, regulations, statutes) Mitigating circumstances Stands Alone – All relevant / material information is included in one report with no enclosures. Exception: Military Whistleblower Reprisal Cases Characteristics of a Good IR “Tells the Story” & Stands Alone Tells the “whole” story without reliance on enclosures Maintain working papers separately List interviews and documents… Do not include them Complete and Organized Assume readers have zero knowledge of matters investigated Address tasked and emerging allegations Present and discuss evidence – pro & con Discuss and analyze law & regulations Clear and Logical Any reader should understand! Direct – clear – concise - neutral language Logical progression Clear and Logical Summarize redundant information Eliminate irrelevant / immaterial facts Include relevant facts even if they do not support your conclusion Discuss conflicting facts Proper Style and Tone Avoid emotional, judgmental words Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar “Tells the Story” & Stands Alone Tells the “whole” story without reliance on enclosures Maintain working papers separately List interviews and documents… Do not include them Complete and Organized Assume readers have zero knowledge of matters investigated Address tasked and emerging allegations Present and discuss evidence – pro & con Discuss and analyze law & regulations Clear and Logical Any reader should understand! Direct – clear – concise - neutral language Logical progression Clear and Logical Summarize redundant information Eliminate irrelevant / immaterial facts Include relevant facts even if they do not support your conclusion Discuss conflicting facts Proper Style and Tone Avoid emotional, judgmental words Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar

    7. Slide 7 Complete and Organized Characteristics of a Good IR Assume the reader has 0 knowledge of the subject matter Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar Direct – clear – concise - neutral language Logical progression Summarize redundant information Eliminate irrelevant / immaterial facts Discuss conflicting facts Assume the reader has 0 knowledge of the subject matter Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar Direct – clear – concise - neutral language Logical progression Summarize redundant information Eliminate irrelevant / immaterial facts Discuss conflicting facts

    8. Slide 8 Clear and Logical Characteristics of a Good IR Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar Direct – clear – concise - neutral language Logical progression Summarize redundant information Eliminate irrelevant / immaterial facts Discuss conflicting facts Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar Direct – clear – concise - neutral language Logical progression Summarize redundant information Eliminate irrelevant / immaterial facts Discuss conflicting facts

    9. Slide 9 Proper Tone and Style Characteristics of a Good IR “Tells the Story” & Stands Alone Tells the “whole” story without reliance on enclosures Maintain working papers separately List interviews and documents… Do not include them Complete and Organized Assume readers have zero knowledge of matters investigated Address tasked and emerging allegations Present and discuss evidence – pro & con Discuss and analyze law & regulations Clear and Logical Any reader should understand! Direct – clear – concise - neutral language Logical progression Clear and Logical Summarize redundant information Eliminate irrelevant / immaterial facts Include relevant facts even if they do not support your conclusion Discuss conflicting facts Proper Style and Tone Avoid emotional, judgmental words Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar Direct – clear – concise - neutral language Logical progression Summarize redundant information Eliminate irrelevant / immaterial facts Discuss conflicting facts “Tells the Story” & Stands Alone Tells the “whole” story without reliance on enclosures Maintain working papers separately List interviews and documents… Do not include them Complete and Organized Assume readers have zero knowledge of matters investigated Address tasked and emerging allegations Present and discuss evidence – pro & con Discuss and analyze law & regulations Clear and Logical Any reader should understand! Direct – clear – concise - neutral language Logical progression Clear and Logical Summarize redundant information Eliminate irrelevant / immaterial facts Include relevant facts even if they do not support your conclusion Discuss conflicting facts Proper Style and Tone Avoid emotional, judgmental words Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar Direct – clear – concise - neutral language Logical progression Summarize redundant information Eliminate irrelevant / immaterial facts Discuss conflicting facts

    10. Slide 10 Content of the Report Characteristics of a Good IR “Tells the Story” & Stands Alone Tells the “whole” story without reliance on enclosures Maintain working papers separately List interviews and documents… Do not include them Complete and Organized Assume readers have zero knowledge of matters investigated Address tasked and emerging allegations Present and discuss evidence – pro & con Discuss and analyze law & regulations Clear and Logical Any reader should understand! Direct – clear – concise - neutral language Logical progression Clear and Logical Summarize redundant information Eliminate irrelevant / immaterial facts Include relevant facts even if they do not support your conclusion Discuss conflicting facts Proper Style and Tone Avoid emotional, judgmental words Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar Direct – clear – concise - neutral language Logical progression Summarize redundant information Eliminate irrelevant / immaterial facts Discuss conflicting facts “Tells the Story” & Stands Alone Tells the “whole” story without reliance on enclosures Maintain working papers separately List interviews and documents… Do not include them Complete and Organized Assume readers have zero knowledge of matters investigated Address tasked and emerging allegations Present and discuss evidence – pro & con Discuss and analyze law & regulations Clear and Logical Any reader should understand! Direct – clear – concise - neutral language Logical progression Clear and Logical Summarize redundant information Eliminate irrelevant / immaterial facts Include relevant facts even if they do not support your conclusion Discuss conflicting facts Proper Style and Tone Avoid emotional, judgmental words Use active voice & simple, direct language Use correct format, punctuation, vocabulary & grammar Direct – clear – concise - neutral language Logical progression Summarize redundant information Eliminate irrelevant / immaterial facts Discuss conflicting facts

    11. Slide 11 Standard of proof is the degree of certainty you apply to the evidence to substantiate an allegation or not. Standard of Proof

    12. Slide 12 Section 1: Administrative Section Section 2: Background and Summary Section 3: First Allegation (Facts, Analysis, Discussion, Conclusion, Recommendations, Disposition) Section 4: Interviews / Documents List IR Correct Format

    13. Slide 13 Include this privacy notice in the footer of the IR   OFFICIAL USE ONLY - PRIVACY SENSITIVE Any misuse or unauthorized disclosure may result in both civil and criminal penalties IR Correct Format

    14. Slide 14 Section 1: Investigator’s Identity and Location of Working Papers (Guide p. 6-6) a. IO’s name, rank/grade, title, organization, telephone #, and e-mail b. Location of working papers Section 1 Investigators and Working Paper Location a. Hugh Hoffman, Command Evaluator, GS-13, Naval Air Depot, Jacksonville, Florida, (904) 519-8765, e-mail: hugh.hoffman@navy.mil a. Hugh Hoffman, Command Evaluator, GS-13, Naval Air Depot, Jacksonville, Florida, (904) 519-8765, e-mail: hugh.hoffman@navy.mil

    15. Slide 15 Section 2: Background and Summary – (Guide p. 6-7) Hotline control #s, dates of receipt, and tasking dates Summary of the Complaint – in IO’s own words Additional Information (Optional) – information you think will help the reader Summary of the Outcome of the Investigation Allegations List (Optional) Section 2 Background and Summary NADEP Jacksonville hotline case #2003-346. The complainant first raised the issue pertaining to abuse of authority during a Naval Inspector General Focus Group conducted as part of a Jacksonville, Florida, Area Visit. The focus group facilitator referred the complainant to the NADEP Command Evaluation Office. Later, the office contacted the complainant and took a statement, in person, on 17 December 2003.NADEP Jacksonville hotline case #2003-346. The complainant first raised the issue pertaining to abuse of authority during a Naval Inspector General Focus Group conducted as part of a Jacksonville, Florida, Area Visit. The focus group facilitator referred the complainant to the NADEP Command Evaluation Office. Later, the office contacted the complainant and took a statement, in person, on 17 December 2003.

    16. Slide 16 Section 3 Facts Section 3: First Allegation a. Facts (Guide 6-9) 1. Taken from testimony, documents, and other evidence 2. Determine the order of presentation 3. No Opinions in the Fact Section – Just the Facts

    17. Slide 17 Section 3 Analysis / Discussion / Conclusion Section 3: First Allegation a. Facts b. Analysis / Discussion / Conclusion (Guide 6-12) 1. Analyze how the standards apply to the testimony and documents 2. Explain and discuss the weight you assign to the evidence 3. Reconcile conflicting evidence 4. Include mitigating factors 5. Do not include new facts

    18. Slide 18 Section 3: First Allegation a. Facts b. Analysis / Discussion / Conclusion c. Recommendations (Guide 6-13) Do recommend administrative changes Rewrite instruction or hold training Systemic problems – fix the system Take appropriate action to hold subject accountable No further action required Do not recommend specific: Adverse administrative action Disciplinary action Section 3 Recommendations

    19. Slide 19 Section 3: First Allegation a. Facts b. Analysis / Discussion / Conclusion c. Recommendations (Guide 6-13) d. Disposition (Guide 6-13) - Report of action taken by responsible authority when the investigation substantiates an allegation Section 3 Disposition

    20. Slide 20 Section 3 Disposition 1st scenario: No substantiated allegations – None 2nd scenario: Substantiated allegations – IR completed and corrective action taken – Action taken, who took the action & when 3rd scenario: Substantiated allegations – IR completed and corrective action pending – Forwarded to higher authority for appropriate action

    21. Slide 21 Section 4 - Interviews and Documents List all interviews / documents you used Specify how interviews were conducted (telephone or in person) IR Correct Format Section 4 Interviews and Documents

    22. Slide 22 Investigation Report (IR) format – use for any investigation Letter Report (LR) format Get approval from Echelon 2 IG Clear and unequivocal – no exceptions Do not need to weigh the evidence IR vice LR

    23. Slide 23 Questions?? Phase 3: Conduct the Investigation Writing the Report

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