Skills for Effective Investigations

1. Skills for Effective Investigations How Do You Assess the Investigation Results? Presented by: Kwame Addo Director, Investigations & Conflict Resolution Office of the Ombudsman City of Toronto January 24, 2012

2. Agenda Introduction Rules of Evidence Standard of Proof Assessing the Evidence Useful Approaches Expert Evidence

3. Agenda • Challenges • Systemic Issue (s) ? • Developing Recommendations • Questions

4. Rules of Evidence Formal rules of evidence do not apply Rules useful guide Anything can be considered admissible

5. Burden of Proof Civil vs. criminal Criminal: beyond a reasonable doubt Civil burden applied to administrative investigations, i.e., balance of probabilities Admin investigations = Fairness

6. When to begin the assessment Analysis of the evidence is an ongoing activity Not limited to the end of an investigation Informs decision-making

7. Process of Assessing and Weighing the Evidence Review everything collected during an investigation Determine what evidence is relevant to resolving the issue under investigation Investigation Plan Can you answer the investigation question?

8. Weighing Evidence cont’d Three major characteristics to consider Sufficiency Relevance Credibility/Reliability

9. Sufficiency Do you have sufficient information/evidence to answer the investigation question, i.e., disprove or support the complaint?

10. Relevance Evidence relevant to the issue under investigation Positive or negative

11. Credibility/Reliability Source How was it obtained? Corroborated by other evidence Believable?, e.g., Tax Sale investigation Other considerations

12. Useful Approaches Compile collected information in a logical fashion and index it, e.g., by issue/allegation Transcribe, summarize interviews as soon as possible Use Charts and/or tables to help with analysis

13. Useful Approaches (cont’d)

14. Useful Approaches (cont’d)

15. Useful Approaches (cont’d) Examine documents for references to other documents or witnesses Record important interviews

16. Useful Approaches (cont’d) Keep an open mind Consult with other team members or colleagues Summary of facts Argue the case from the respondent’s point of view

17. Assessing Expert Evidence Carefully Assess qualifications What was s/he asked to review Process used Retain your own expert

18. Challenges Too much or too little information He said she/she said

19. Challenges (cont’d) Housing Matters example “On balance, having reviewed the available information, I find the Building Superintendent’s belief and accounting of the incident to be credible. That said, there are no witnesses to the exchange and therefore no definite conclusions can be made.” Housing Matters, City of Toronto Ombudsman Report-January 2010

20. Systemic Issue (s) ? Identification Review evidence through a systemic lens Evidence must be able to support systemic recommendations “ A Duty to Care “

21. Developing Recommendations Must be practical Not prescriptive Supported by evidence

22. Questions

23. Contact Info Office of the Ombudsman City of Toronto 375 University Ave., Suite 203 Toronto, ON M5G 2J5 (416) 392-7062 www.ombudstoronto.ca