Report Writing

1
Report Writing
2
Report Writing

• PURPOSE of the IG Report of Investigation (ROI)
  is to thoroughly address all relevant aspects of
  the investigation in an accurate, clear,
  complete, concise, logically organized, timely,
  and objective manner. The ROI must inform the
  reader of the allegations, findings of fact, and
  conclusions. The reader must be able to
  understand the evidence found, and the analysis
  the investigator used to arrive at the
  conclusions.

3
Overview

• Case File
• Assistance Case
• Hotlines
• Report of Investigation

4
Case FileWhat is it?

• A standardized compilation of all documents
  relevant to an IG investigation that are gathered
  or prepared during the Complaints Resolution
  Process
• Organization
• Assistance Cases
• HOTLINEs
• ROI

AI Manual Page E-1 E-2
5
Assistance Cases

• Assistance Cases
• Covered in detail in Section 0402 through 0404.
• File IAW appendix E-1
• Retention Period?

6
Hotlines

• HCR Hotline Completion Report
• Same purpose as ROI, but in a DoDIG required
  format
• Covered in detail in Section ial Complaints block

7
Hotlines Case File

• HCR Hotline Completion Report
• Side 1 Complaint
• Side 2 Tasking Letter
• Side 3 Correspondence on Letterhead
• Side 4 All Emails (substantive issues)
• Side 5 ROI
• Side 6 Closing letter(s) and notifications

8
Report of Investigation

• A I Manual Appendix C
• Building the Case File
• Authority and Scope
• - Introduction Background and Allegations
• - Findings, Analysis, and Conclusions
• Recommendations

9
ROI Case File

• Legal size expanding folders Label with Case
  Number only on outside flap
• TAB I ADMINISTRATIVE (RED)
• a)    Appointing order/ tasking letter
• b)    Letters of Notification and (INITIAL) to
  Command/ Subject/ Complainant
• c)    Privacy Act Releases (if applicable)
• d)    Rights Advisory Forms (if applicable)
• e)    Letter of Notification (FINAL) to
  Complainant

10
ROI Case File

• TAB II REPORT OF INVESTIGATION (GREEN)
• a)    ROI
• b)    Legal Review
• c)    First Endorsement
• d)    Second Endorsement
•  

11
ROI Case File

•  
• TAB III SUPPORTING DOCUMENTS (YELLOW) 
• a)    Complaint
• b)    Index of supporting documents
• 1.    - XX. All documents used
  (previously called Enclosures)
•  

12
ROI Case File

• TAB IV WORKING PAPERS (BLUE)
• a)    Legal Review Draft (w/ Supporting Documents
  identified)
• b)    Investigative Plan
• c)    Investigator Notes
•  

13
ROI Case File

•  
• TAB V CORRESPONDENCE (ORANGE)
• a)    E-mail messages printed out -
  Administrative Matters (sorted chronologically)
• b)    E-mail messages printed out - Substantive
  Matters (sorted chronologically)
• c) Hard copy correspondence (not listed in any
  of the above categories)

14
What is an ROI?Just the Facts

• A stand-alone, accurate and impartial document
• Including all the essential facts, documents,
  portions of regulations, interviews, etc.
• Written such that the reviewer can arrive at a
  determination without reference to information
  outside the report.

15
Remember

• Evidence information that reveals the facts
• Testimonies
• Independent exhibits (documents / items)
• Combinations of the above
• Preponderance of Evidence more likely than
  not that the alleged events did/did not occur
• Standard in IG investigations
• Not same as criminal investigations
• Fact the objective truth based upon a
  preponderance of evidence
• Outline analysis of each allegation
• Use your Proof Analysis Matrix

16
Authority and Scope

• Boilerplate
• Write early
• Outlines
• Legal authority to investigate
• Focus

17
Introduction Background Allegations

• Assume readers have zero knowledge of matters
  investigated
• Synopsis of all allegations considered or not
  considered
• Accounts for all unusual occurrences during
  investigation
• Include allegation findings (S, NS, U, NI)
• Promotes understanding of why and how matters
  were investigated and what were the findings

18
Findings, Analysis Conclusions
The preponderance of evidence indicated . . .
UNFOUNDED , NOT SUBSTANTIATED or SUBSTANTIATED
There is NO PARTIALLY SUBSTANTIATED
allegation
19
Findings, Analysis Conclusions

• Deliberative process must be fully documented
• What was the allegation?
• What standards apply?
• What are the facts?
• Were the standards violated?
• If so, by whom (any mitigating factors)?
• Must logically lead to conclusions and findings
• Facts must be cross-referenced to evidence
• Assess witness credibility (if dispute, reconcile)

20
Report Writing Guide
ESSENTIAL ELEMENTS
TESTIMONY
DOCUMENTS
OBJECTS
Establish The Standard
In Violation Of What
Part 1
Establish What Happened Who, Did What, When
Who
Did What
Part 2
When
Conclusion Compare Parts 1 and 2
Part 3
21
Findings, Analysis Conclusions

• Built upon/summarizes facts established in the
  analysis portion
• Telling the story leads to the conclusion
• Normally about a paragraph or two in length

22
Recommendations

• Indentify systemic problems
• Recommend the the Directing Authority aprove the
  ROI and close the case.
• IO should never recommend specific
  admin/disciplinary action be taken against the
  subject of the ROI

23
Recommendations

• Are NOT binding
• Focus on fixing root causes
• Be brief and concise
• Tie to findings

24
Examples of Recommendations

• Command should receive Government Travel Card
  training to reduce infractions
• Audit of personnel records to reduce inaccuracies
• Command receive a Unit Climate Assessment

25
ROI Approved

• Directing Authority Approval
• has final say
• must sign and state concurrence
• If non-concur, must write addendum
• ROI Addendum
• Must clearly explain rationale
• Maintained in addition to original ROI

26
Rules for a Good Report

• The ROI must be a stand-alone document
• Subject matter must be systematically arranged
  and the report must be logically written
• A good report is written as if the reader had no
  prior knowledge of the case
• Conclusions to each allegation must be factual,
  short, and clearly stated

27
Chronology of Events

• First document written
• Draft begins at Pre Fact Finding
• Developed throughout Fact Finding
• Begins with earliest significant event related to
  matters under investigation

28
Areas of Concern

• Investigative Report
• Rebuttal versus objective reporting
• Not comprehensive doesnt run down all the
  leads/ witnesses
• Conclusions dont match Findings of Fact
• Lack of accountability
• Doesnt explore global definition of violation

29
Summary

• Case File
• Assistance Case
• Hotlines
• Report of Investigation
• A Sample ROI is included in the Assistance and
  Investigations Manual, 04 Mar 04 (Appendix C)