Tuesday, February 23, 2021

Investigations – Part 1: Conducting Different Types of Investigations: Where to Start, Formats and Templates for Investigation Reports


Author: Tracey Young. (Feb.23, 2021). Investigations – Part 1: Conducting Different Types of Investigations: Where to Start, Formats and Templates for Investigation Reports. C4D Canadians4Democracy. Retrieved from: https://c4d-canadians4democracy.blogspot.com/2021/02/investigations-part-1-conducting.html.

Introduction

In this article I am going to provide an overview about different types of investigations. I will start with questions that will help investigators determine where to start, help them develop a plan and guide their investigative work. I will also provide general information about different types of formats and templates that are used to present evidence gathered in an investigation. 

Types of Investigations

Civil: Private investigators may be obtained to investigate claims of personal injury; harassment; family matters and divorce; contractual issues; medical malpractice; financial concerns and wrongful death. The findings of investigations may, or can be used in civil cases, such as where one party sues another, or parties ending relationships in family law cases. 

Criminal: Obtaining evidence related to alleged violations of criminal legislation in one's jurisdiction. In Canada this would be the Criminal Code of Canada (CCC). Police do the preliminary evidence gathering and present it to the Crown Prosecution, who conduct more investigations. Defense lawyers will often do investigations related to trying to find evidence of their client's innocence of charges. 

Employment: Some employers conduct a deeper investigation the backgrounds of applicants for jobs beyond the normal checking for references, and interviewing the potential applicant. 

Forensic: Court-involved. Gathering and analysis of different types of evidence in order to support a legal case. This can include criminal cases, but it can also include civil litigation cases as well. 

Insurance: Agencies conduct investigations into claims people, or businesses make on their insurance. This can include personal, business, or workers' compensation insurance matters. 

Personal: Some people research specific topics for personal interest, or as a hobby. Some people research consumer, or other products, prior to selecting the ones they want to buy. 

Research: People may conduct investigations as part of a research project into a specific phenomenon, such as something scientific; social science research; or writing books, teaching, or other reasons. 

Workplace: These investigations usually involve some sort of workplace issue that has been raised, such as unsafe workplace conditions, workplace abuse, bullying, and harassment. These can include investigating wrongdoing that could be of a criminal nature. 

Written Works: This refers to information gathered for writing articles, books, blog posts, or other formats that will lead to publishing and sharing the results of your investigations. 


Where Do You Start?

This primarily depends on whether you are conducing formal investigations, or what your role is in doing so. For instance, private investigators are trained professionals, who are hired to conduct different types of investigations for specific purposes. 

If you are not a professional investigator, start with some questions to guide the process.

  • What do you want to investigate, and for what purpose?

  • What is your goal and objective for your investigation? 

  • Will you be presenting the results of your investigation to anyone, if so who? Who is the "audience" for your investigation findings, if you have one?

  • Do the parties receiving your report, or complaint have a particular format for receiving submissions? Have you determined what that format is prior to starting your investigation?

  • What kind of format will you need for a written investigation report and to present the evidence you have collected? Is there a template available for this already?

  • What specific types of evidence will you be gathering, and how does this connect to your overall investigation purpose, goal and objective?

  • Where will you find this evidence, and how will you establish it is connected to the alleged wrongdoing, or other information you have? 
  • How will you know when you have accomplished your investigation goal, objective, and purpose?

  • Is there a deadline for your investigation, or some kind of timeline you need to be mindful of?

                              

Formats of Investigation Reports

If you are conducting a formal investigation there will likely be some sort of format, or document you will be required to use. This could include a specific template. Below are some types of formats you will need to use. 

Administrative complaints: These can include complaints against individuals who are alleged to have engaged in violations of policies, professional regulatory codes and standards, laws, and private and public sector businesses and organizations.  

Code of Conduct (COC) investigation reports: These are for formal investigations that gather evidence to determine whether individuals have engaged in misconduct under the definitions outlined by organizations. This includes employment policies; COC policies for those who work for governments, or hold  political office; formal complaints about journalist's conduct, or other professionals who work for organizations that have COC's. 

Criminal complaints: Law enforcement officers will have a specific template, or outline for how to present the evidence they have gathered in the course of conducting a criminal investigation into criminal complaints of wrongdoing/violation of criminal laws. 

  • Individuals who have been victims of a crime, or allege some sort of crime has occurred, may use similar templates as law enforcement to organize evidence gathered through investigation to explain how this evidence warrants law enforcement authorities conducting a criminal investigation into the actions of specific individuals. 
  • These kind of materials should clearly identify the alleged criminal offense by section and name and legislation. Complaints should also outline how evidence gathered is connected to each alleged criminal offense against the individual. 

Professional misconduct complaints to regulatory Colleges: Formal complaints of professional misconduct made to regulatory organizations, often called, "Colleges," have specific forms, templates, or formats that must be used to file the complaint. 

  • Individuals who are investigating and writing formal complaints related to their findings will want to identify the sections of the legislation, Code of Ethics, Standards of Practice, and By-laws that College registrants have allegedly violated, and report all of the evidence they have that supports their complaint. 

Written works: If you intend to submit an article, Letter to the Editor, Op-ed to a media outlet to publish the results of your investigation you must inform yourself of the requirements for word count, format for submission, and other required information. There also may be templates you are required to use, or that will be helpful to organize the information gathered so it improves the ease of reading and understanding for your intended audience. 

Investigation Templates

As noted above, formal investigators will already have specific templates they will use for documenting the evidence they gather during their investigations. 

For those who are new to investigations, it may be useful to conduct an internet search for 'Investigation Templates' to get an idea of how to structure investigation reports to ensure the presentation of evidence is done in an easy-to-read/understand and professional way. All of these things enhance the credibility of the investigator and their diligence and professionalism in conducting their investigation.  

Another way to approach the documentation of your investigation findings is to create your own report template that includes the following:

➤ Clear headers, with ample spacing, and and easy-to-read report style.

➤ Date section for when the alleged violation, or problem occurred. 

➤ Date when the complaint is submitted. 

➤ The name of the individual submitting the complaint. 

➤ A brief, concise summary of the investigation: what was investigated; what date did an alleged offence occur; what the findings of the investigation are. 

➤ The alleged violation and/or section(s) of the criminal legislation, Code of Conduct, Ethics, or Standards.

➤ Space for clear, concise, and factual information that details the narrative related to the alleged violation(s). 

➤ A place at the end of where you can sign and date the report. If you have professional credentials, you will use those when you sign the report. 

Example of a Generic Investigation Template:


Copyright © 2021.Tracey Young/C4D Canadians4Democracy.  All Rights Reserved.
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