Fact Investigation Legal Outlines by uci44595

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									 Planning the
Investigation
(aka Pre Fact Finding)
                     Investigation Plan



 PURPOSE: The investigative plan is an outline of how the
  investigator intends to carry out the investigation in order to
  obtain the facts necessary to enable responsible authorities
  to make appropriate decisions. It serves as a checklist to
  ensure all necessary points are covered in an efficient

  manner.
               Courses of IG Action

   Contact            Analysis   Tasking
                                           Assist

                                           Refer


Investigation Plan                         Transfer

  Framed Allegation                        Dismiss

      Proof Analysis Matrix
                                           Investigate
         Questions / Evidence

              Report
                             Overview


   Prerequisites

      Partnership

      Training



   Pre-Investigation
      Authority and Scope
      Appointment Letter
      Framed Allegations


   Investigation Strategy
      Investigation Plan
      Develop a Proof Analysis Matrix
                  Prerequisites

 Partnership
  Between Inspector, IO and SJA
     • Starts between Inspector and SJA during Analysis
     • IO joins immediately after being appointed
     • Maintained throughout investigation

  Inspector staff is the support function
     • Administrative / investigative matters

  Legal Assistance
  Technical assistance is available, if necessary
                    Prerequisites


 Training
  Inspector’s responsibility
     • One-on-one instruction to prepare IO
     • Provide tools for a thorough investigation
          Assistance and Investigations Manual, 04 Mar 04 / Proof Analysis
           Matrix



 Appointment Letter
  Appointed by Appointing Authority
  Defines scope of investigation
                  Appointing Authority


   Authority to direct an investigation is vested in:
     NAVINSGEN; & IGMC, Commanders
     SECNAVINST 5430.57F Missions and Functions of the Naval
      Inspector General
     Inspectors in authorized positions
        • If designated in writing by their respective commander


   Authority to conduct an investigation is extended to IO
    through an appointment letter signed by Appointing
    Authority
                              Scope

   Defined in the IO’s Appointment Letter

     Contains the allegation(s)

     Defines investigation as IO’s only duty

     Authority to interview and collect evidence

     Defines timeline

        • Normally 30 days to complete investigation and deliver
          report

     Restricts release of information

        • Release of Inspector records can only be approved by the
          Inspector
                      Getting Started


   IO is not alone
      Inspector staff is support function
      Legal assistance
      Technical assistance if necessary

   Become familiar with tools
      Proof Analysis Matrix
      Assistance and Investigations Manual, 04 Mar 04

   Review support documentation
      Complaint and attachments
      Understand allegation: who, did what, in violation of what, when
      Understand standard(s)
                           Investigation Plan
       Who,
     did what,
in violation of what,
     when…?


                        Framed Allegation - Premise

                               Proof Analysis Matrix - Blue Print

                                       Questions / Evidence - Facts

                                                Report - Product
          Investigation Plan (IP)
                 What is it?


It’s your roadmap!




     Each IP is fashioned to reflect
    intricacies / subtleties of a case
  Elements of an Investigative Plan


 Contact List
 Notification List
 Background Information
 Allegations List
 Outline of Proof
 Witness and Document List
 Interview Sequence Plan
 Chronology of Events
 Logistics Plan
               Investigation Plan (IP)
                       How do I build it?

1. Background information
   Allegation
   Chronology
     • Timeline focuses investigative efforts
     • Provides a starting point for questions

2. Evidence required
                                                  Proof
   Documents / Physical Evidence
                                                 Analysis
   Witness interview list                        Matrix
     • Questions

3. Admin / logistics requirements
                  Proof Analysis Matrix
                              What is it?


 “Blueprint” / tool that
  Helps organize / outline evidence
   required
  The “heart” of your IP
     • Identifies Essential Elements
           Who
           Did What
           In Violation of What
           When

     • Highlights the evidence
         Focuses Fact Finding
         Outlines proof
           Proof Analysis Matrix
                How do I build it?




 Start with the Allegation

 Identify the Essential Elements
  What you need prove or disprove


 Construct the Table
                        Proof Analysis Matrix



ESSENTIAL ELEMENTS   TESTIMONY    DOCUMENTS     OBJECTS

In Violation
Of What

Who


Did What


When
            Sample Allegation


LtCol Goodtime, XO, HqBn, HQMC,
improperly allowed the consumption
of alcoholic beverages on
government property during duty
hours at the battalion Funday, in
violation of MCO 1700.22D, on 6 Jun
02.
            Identify Essential Elements

Who:
       LtCol Goodtime, XO, HqBn, HQMC
Did What:
       improperly allowed the consumption of alcoholic
       beverages on government property during duty
       hours at the battalion Fun day
In violation of what:
       in violation of MCO 1700.22D
When:
       on 6 Jun 02
                          Proof Analysis Matrix
                        Construct the Table

ESSENTIAL ELEMENTS   TESTIMONY      DOCUMENTS     OBJECTS


In Violation
Of What

Who


Did What


When
                                  Proof Analysis Matrix
                             What to Prove or Disprove
ESSENTIAL ELEMENTS            TESTIMONY       DOCUMENTS   OBJECTS

In Violation Of
What
MCO 1700.22D prohibits
on-duty consumption of
alcohol

Who


Lt Col Goodtime
Did What
improperly allowed
consumption of alcohol on
gov’t property during duty
hours, at the Bn fun day
When


On 6 Jun 02
                                  Proof Analysis Matrix
                                Organizes Evidence
ESSENTIAL ELEMENTS           TESTIMONY       DOCUMENTS    OBJECTS
In Violation Of
What
MCO 1700.22D prohibits       OPR of MCO
on-duty consumption of
alcohol

Who
                             OPR of MCO
                             Subject
Lt Col Goodtime
Did What                     Complainant
improperly allowed           Subject
consumption of alcohol on    Sanders
gov’t property during duty   Mr Yeats
hours at the Bn fun day
When                         Subject
                             Ms Sanders
                             Mr Yeats
On 6 Jun 02
                                  Proof Analysis Matrix
                                Organizes Evidence
ESSENTIAL ELEMENTS           TESTIMONY       DOCUMENTS      OBJECTS
In Violation Of
What
MCO 1700.22D prohibits       OPR of MCO      MCO 1700.22D
on-duty consumption of
alcohol

Who
                             OPR of MCO
                             Subject        MCO 1700.22D
LtCol Goodtime
Did What                     Complainant
improperly allowed           Subject                        Roster
consumption of alcohol on
                             Sanders         Duty Hrs       Base Map
gov’t property during duty                                  fun day Pict
hours at the Bn fun day      Mr Yeats
When                         Subject
                             Ms Sanders                     Pict of Bottle
                             Mr Yeats
On 6 Jun 02                                                 Bottle Label
                                Proof Analysis Matrix
                             Prepares for Interviews
ESSENTIAL ELEMENTS            TESTIMONY       DOCUMENTS    OBJECTS

In Violation Of
What
MCO 1700.22D prohibits        OPR of MCO    MCO 1700.22D
on-duty consumption of
alcohol
Who
                              OPR of MCO
                              Subject       MCO 1700.22D
LtCol Goodtime
Did What                     Complainant
improperly allowed                                         Roster
                             Subject
consumption of alcohol on                    Duty Hrs      Base Map
                             Sanders
gov’t property during duty                                 Funday Pict
                             Mr Yeats
hours at the Bn fun day
When                          Subject
                                                           Pict of Bottle
On 6 Jun 02                   Ms Sanders
                              Mr Yeats                     Bottle Label
          Proof Analysis Matrix
               Outlines the Report



 Establish the standard
 Establish what happened
   Fact based
   Cross-referenced to testimony / evidence collected

 Compare standard to what happened
   Lead reader to logical conclusion

 Product = report that is a stand-alone document
           Developing Questions


 Know your audience—different experience
  levels
 Types of Questions
   “The Basics” – who, what, when, where
   “The Details” – why, how
 Start general and build toward specific
   Establish knowledge of subject
   Establish knowledge of events
   Establish knowledge of standards
   Establish expertise (if applicable)
                 Investigation Plan (IP)
                     How do I build it?

1. Background information
   Allegation
   Chronology



2. Evidence required
                                            Logistics
                                           is important

3. Admin / logistics requirements
             Investigation Plan (IP)


   Framed allegations
      Issues to be resolved
   Evidence to be collected
      Documents / Physical Evidence
      Witness interview list
         • Questions
   Admin / logistics requirements
   Each IP is fashioned to reflect
      The intricacies / subtleties of a case
      The IO’s personal style / technique
                     Building the IP


   Review support documentation
     Complaint and attachments
     Any evidence provided
     Standards

   Read the allegation provided by IG
     Ensure you understand nuances
     Identify the who, what, when, and where

   Familiarize yourself with your tools
     Proof Analysis Matrix
     Assistance and Investigations Manual, 04 Mar 04
     Investigation Plan
            Building the IP-
             Take Action

 Develop a preliminary chronology

 Build a Proof Analysis Matrix

 Identify evidence, elements of proof,
 and data required for each allegation
                  Chronology


 Event timeline
 Focuses investigative efforts
 Provides visual cues
 Provides a starting point for questions
 Mandatory for all reprisal investigations
    Highly recommended for all investigations

 Part of the IG Case File (Section III, Tab C)
                                    Summary

       Who,
     did what,
in violation of what,
     when…?               Planning the Investigation
                                   (Pre Fact Finding)
                        Framed Allegation - Premise

                              Proof Analysis Matrix - Blue Print


                                      Questions / Evidence - Facts

                                             Investigative Plan

								
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