Process of Investigation (eBook)

Concepts and Strategies for Investigators in the Private Sector

Charles A. Sennewald, John Tsukayama (Autoren)

eBook Download: PDF | EPUB

2014 | 4. Auflage
368 Seiten
Elsevier Science (Verlag)
978-0-12-800643-6 (ISBN)

Infos

The Process of Investigation, Fourth Edition addresses the needs of today's private sector investigative professional by providing a full-spectrum treatment of the investigative process, from case inception and investigative strategy selection to executing complex investigative techniques, to creating reports useful for corporate, legal, and prosecutorial purposes.Continuing in the tradition of its previous editions, The Process of Investigation, Fourth Edition covers essential topics overlooked in books on the public aspects of investigation. Investigative skills such as surveillance techniques, interviewing and interrogation, collecting and documenting evidence, and taking confessions and written statements are all discussed, and supplemented with updated case studies and examples from the authors' own professional experiences. - Teaches the fundamentals of the investigative process and serves as a valuable reference tool for both the student and the professional - Experienced professionals can brush up on seldom-used specialty skills, and reconsider existing methods and approaches - Includes a new chapter on discrimination investigations

Charles 'Chuck” Sennewald, CSC, CPP, is an independent security management consultant and expert witness and the author of numerous Butterworth-Heinemann titles, including 'Effective Security Management'; 'Security Consulting'; 'Retail Crime, Security and Loss Prevention: An Encyclopedic Reference;' 'From the Files of a Security Expert Witness'; and earlier editions of this book 'The Process of Investigation.' Chuck is a graduate of California State University - Los Angeles with a BS degree in Police Science and Administration. Chuck is also the founder and first president of the International Association of Professional Security Consultants (IAPSC), and is a long-time member of ASIS International. He has lectured and is read in countries around the globe.

Inhalt

Front Cover 1
The Process of Investigation 4
Copyright 5
Dedication 6
Contents 8
Preface 20
Acknowledgments 22
About the Authors 24
Part 1 Fundamentals of Security Investigation 26
CHAPTER 1 - THE INVESTIGATIVE PROCESS 28
TWO CATEGORIES OF INVESTIGATION 28
THE INVESTIGATIVE PROCESS 29
THE CREATIVE PROCESS IN INVESTIGATION 33
REFERENCES 33
CHAPTER 2 - A COMPARISON OF PUBLIC AND PRIVATE SECTORS 34
SOURCE OF AUTHORITY AND FUNDING 35
SOURCES OF INFORMATION 35
JOB SECURITY 35
SCOPE OF WORK 35
IMAGE 35
CIVIL LIABILITY 36
TRAINING AND EDUCATION 36
TECHNICAL RESOURCES 37
PROFESSIONALISM 37
CAREER PATHS 38
ASSISTANCE 39
PERSONAL ACHIEVEMENT 39
OVERLAPPING MISSIONS 40
CONCLUSION 41
CHAPTER 3 - QUALITIES OF THE INVESTIGATOR 42
POWERS OF OBSERVATION 43
RESOURCEFULNESS 43
PATIENCE 44
INTERACTING WITH PEOPLE 44
UNDERSTANDING OF HUMAN BEHAVIOR 45
UNDERSTANDING LEGAL IMPLICATIONS 45
EFFECTIVE COMMUNICATION SKILLS 45
RECEPTIVITY 46
SENSE OF WELL-BEING 46
DEDICATION TO THE WORK 46
SELF-INITIATIVE 47
HEALTHY SKEPTICISM 47
INTUITION 47
ENERGY AND STAMINA 48
ACTING SKILLS 48
GOOD JUDGMENT 49
LOGIC 49
INTELLIGENCE 50
CREATIVE IMAGINATION 50
GOOD CHARACTER 51
SENSE OF PROFESSIONALISM 51
A SELF-QUIZ 51
TRUE SUCCESS 51
REFERENCES 53
CHAPTER 4 - MANAGING THE INVESTIGATIVE FUNCTION 54
THE MANAGER AS INVESTIGATIVE COUNSELOR 54
THE MANAGER AS TRAINER 55
THE MANAGER AS CONTROLLER 57
THE MANAGER AS MOTIVATOR 62
THE MANAGER AS EVALUATOR 63
REFERENCES 63
Part II METHODS OF SECURITY INVESTIGATION 64
CHAPTER 5 - UNDERCOVER INVESTIGATIONS 66
TECHNIQUES AND METHODS 67
PROBLEM AREAS 73
THE ABSENCE OF PROFESSIONALISM 75
CONCLUSION 76
CHAPTER 6 - SURVEILLANCE 78
COVERT VERSUS OVERT SURVEILLANCE 78
THE STATIONARY SURVEILLANCE 80
THE MOVING SURVEILLANCE 84
MOVING AND STATIONARY SURVEILLANCE 85
CONCLUSION 91
CHAPTER 7 - BACKGROUND INVESTIGATIONS 92
WORKPLACE VIOLENCE 93
THE APPLICATION PACKAGE 93
POST-HIRE SCREENING 99
REFERENCES 103
CHAPTER 8 - DISCOVERING COVERT CRIMES 104
DEPLOYMENT OF UNDERCOVER AGENTS 105
SHOPLIFTING SURVEILLANCE 114
REFERENCES 116
Part III BUILDING A CASE 118
CHAPTER 9 - INTERVIEWS AND INTERROGATIONS 120
INTERVIEWING 121
INTERROGATION 127
PREPARING FOR THE INTERROGATION 129
CONCLUSION 135
REFERENCE 136
CHAPTER 10 - AN OVERVIEW OF THE INTERVIEW AND INTERROGATION PROCESS 138
DEMEANOR 139
RAPPORT 139
INTERVIEW AND INTERROGATION 140
CONDUCTING THE INTERVIEW 146
SELLING THE INTERVIEW 149
STATEMENT ANALYSIS—THE UNTAINTED STORY 149
FACT GATHERING 150
LIFESTYLE INTERVIEWS 151
COGNITIVE INTERVIEWING 151
COMMON INTERVIEWER ERRORS 153
BEHAVIORAL INTERVIEWING 153
DIAGRAMS 154
INTERROGATION 154
DECISION TO CONFESS 155
RATIONALIZATION 156
DENIALS 156
METHODS OF INTERROGATION 158
DOCUMENTING THE CONFESSION OR THE INTERVIEW 161
CONCLUSION 161
SUGGESTED READING 162
CHAPTER 11 - EVIDENCE 164
DEMONSTRATIVE EVIDENCE 164
DOCUMENTARY EVIDENCE 171
SOME RULES AND DEFINITIONS OF EVIDENCE 174
A FINAL WORD ABOUT EVIDENCE 175
REFERENCE 176
CHAPTER 12 - WRITTEN STATEMENTS, ADMISSIONS, AND CONFESSIONS 178
WRITTEN STATEMENTS 178
ALLOWABLE USES OF STATEMENTS 181
HISTORICAL BACKGROUND 182
TYPES OF CONSTRAINTS 185
CONFESSIONS AND ADMISSIONS 187
THE WRITTEN ADMISSION 188
VIDEOTAPED CONFESSIONS 189
VALUE OF THE CONFESSION 190
REFERENCE 190
CHAPTER 13 - THE USE OF INFORMANTS 192
PROFESSIONAL CONTACTS 192
INFORMANTS 193
THE ANONYMOUS INFORMANT 196
INFORMANT CONTROL STAGES 199
MAXIMIZING POTENTIAL FOR CONTROLLED INFORMANT RECRUITMENT 203
UNEXPECTED DIVIDENDS 203
TREATMENT OF INFORMANTS 203
THE NEED FOR CORROBORATION 204
REFERENCES 204
CHAPTER 14 - REPORT WRITING AND NOTE TAKING 206
DEFINING THE INVESTIGATIVE REPORT 206
NARRATIVE REPORTS 206
STRUCTURED OR FORMALIZED REPORTS 212
NOTE TAKING 213
LARGE CASE REPORT FORMAT 213
SUMMARY 218
REFERENCE 218
Part IV APPLYING INVESTIGATIVE STRATEGIES 220
CHAPTER 15 - PROBLEMS ARISE: THE WHAT OF INVESTIGATION 222
CHAPTER 16 - CRIME AND SOLUTION: THE HOW OF INVESTIGATION 226
SCIENTIFIC DETECTION METHODS 227
HOW WAS IT ACCOMPLISHED? (COMMISSION STRATEGY) 228
HOW CAN THE CRIME BE SOLVED? (SOLUTION STRATEGY) 230
THE MODUS OPERANDI 233
SELECTING THE SOLUTION STRATEGY 233
REFERENCE 236
CHAPTER 17 - IDENTIFYING SUSPECTS: THE WHO OF INVESTIGATION 238
THE PROCESS OF ELIMINATION 238
READING THE PHYSICAL EVIDENCE 240
THE INVESTIGATIVE INTERVIEW 242
COMBINING TECHNIQUES 245
SUMMARY 247
CHAPTER 18 - FINDING INFORMATION: THE WHERE OF INVESTIGATION 250
SOURCES OF INFORMATION IN THE PRIVATE SECTOR 253
DIRECTORIES AND PERIODICALS 256
INFORMATION SOURCES IN LOCAL GOVERNMENT 258
INFORMATION SOURCES IN STATE GOVERNMENT 259
OTHER SOURCES 261
REFERENCES 263
CHAPTER 19 - THE TIME FACTOR: THE WHEN OF INVESTIGATION 264
METHODS OF ESTABLISHING TIME 265
HOW TO PRE-ESTABLISH TIME 270
CHAPTER 20 - ESTABLISHING MOTIVE: THE WHY OF INVESTIGATION 274
MOTIVATION AND DETECTION STRATEGY 275
MOTIVES FOR THEFT 276
MOTIVE AND RESPONSE 278
SUMMARY 279
REFERENCES 285
Part V TECHNOLOGICAL AND SPECIALIZED INVESTIGATIVE TECHNIQUES 286
CHAPTER 21 - IMAGERY 288
PHOTOGRAPHY AND EQUIPMENT 288
SCENE DOCUMENTATION 297
THE FUTURE OF INVESTIGATIVE PHOTOGRAPHY 298
REFERENCES 300
CHAPTER 22 - COMPUTERS IN PRIVATE SECTOR INVESTIGATIONS 302
A CHANGING INVESTIGATOR’S WORLD 302
COMPUTERS AS INVESTIGATIVE TOOLS 302
COMPUTERS AS OBJECTS OF EVIDENCE 302
COMPUTERS AS TOOLS 304
COMPUTERS AS OBJECTS OF EVIDENCE 312
A FINAL NOTE ON CYBERCRIME 319
REFERENCES 319
CHAPTER 23 - TARGETED VIOLENCE INVESTIGATIONS 322
TYPES OF WORKPLACE VIOLENCE 323
SIGNIFICANCE OF WORKPLACE VIOLENCE 323
A COMMON MISTAKE 324
THREATS 324
A THREAT IN THE WAREHOUSE 335
THE LONG VIEW 337
REFERENCES 338
CHAPTER 24 - DISCRIMINATION INVESTIGATIONS 340
DISCRIMINATION AND HARASSMENT 342
REFERENCES 358
Index 360

Textauszug

Chapter 1

The Investigative Process

Abstract

This chapter includes information on the division of the investigative process into two categories: constructive and reconstructive, as well as how the investigative process applies to the security industry, and what the basic questions are to be answered regarding an incident or action. The chapter also explains the importance of information collection through communication from informants and interviews, as well as the importance of one’s own powers of observation, using detailed examples drawn from created scenarios as well as historical accounts of early investigative processes. Finally, the chapter compares modern investigative techniques to historical ones and highlights the creative and imaginative nature of investigations.

Keywords

Investigative process; constructive; reconstructive; information collection; communication; observation

An investigation is the examination, study, searching, tracking, and gathering of factual information that answers questions or solves problems. It is more of an art than a science. Although the person engaged in investigation is a gatherer of facts, he or she must develop hypotheses and draw conclusions based on available information. The investigative process, that is to say, is a comprehensive activity involving the collection of information, the application of logic, and the exercise of sound reasoning.

The end result of an investigation is the factual explanation of what transpired, if the incident or issue is history, or what is occurring, if the issue is of the present.

The investigative process is not limited to the criminal justice and security fields. It is an activity found, to one extent or another, in virtually all areas of human endeavor. Academicians are investigators, supervisors faced with disciplinary problems are investigators, antique appraisers are investigators, medical doctors are investigators—just to name a few. Sherlock Holmes, with his deerstalker hat and magnifying glass, may be the art’s most familiar image, but investigation does not belong exclusively to the arena of crime or the realm of cops and robbers.

Just as the art of investigation belongs to no one province, so no one has all the answers as to precisely how any investigation can lead to the desired solution. Too many facets are involved in the process of collection of information, application of logic, and the use of sound reasoning. Some such facets include intuition, luck, mistakes, and the often touted “gut feeling.” No single textbook of formulas is possible; no one book (or author) can stand alone as the ultimate authority. Our purpose, then, is to provide an overview of investigative concepts, strategies, suggestions, guidelines, hints, and examples that can be useful to any investigator.

Two Categories of Investigation

There are two categories of investigation: constructive and reconstructive. Constructive investigations are covert in nature, performed in secrecy. This type of inquiry occurs while the suspected activity is taking place or anticipated. An example might be an investigation into a complaint that a member of middle management solicits sexual favors from female subordinates and reaps favors accordingly. The purpose of the constructive investigation is to determine if objectionable activity is taking place.

Reconstructive investigations are necessary when an event has taken place and the investigator must recreate what happened after the fact. This type of investigation is usually overt in nature, carried out in the open.

The Investigative Process

As it pertains to the security industry, the investigative process is organizationally oriented as opposed to being community oriented. Its objective in this setting is to seek answers to the basic questions—the what, who, where, when, how, and why—regarding a condition, incident, or action deemed organizationally unacceptable, or to meet organizational objectives. Internal dishonesty, for example, is an organizationally unacceptable activity. The background investigation of a prospective new employee would meet one organizational objective.

Most of the investigative process takes place in the collection of information. This gathering or collection is based on communication and observation. The answers to the six basic investigative questions are developed through communication—that is, the written or spoken word; or observation—that is, physical evidence that can be observed (whether by human eye or microscope), touched, or in any way quantitatively measured.

Communication

Communication includes information received from informants, information developed through the interview process, and information obtained in interrogations.

Consider a simple example. A homeowner, hearing the glass of his front window break, runs to the room and commences an immediate inspection to determine the cause. He observes a baseball lying among the pieces of broken glass. Sticking his head out of the broken window, ball in hand, he shouts to a silent group of youngsters in the street. “Okay, you guys, which one of you did it?” As he asks the question, simultaneously he observes that a boy named Harry is holding a baseball bat. Based on the facts thus far gathered, he forms a hypothesis that Harry struck the ball with the bat, causing the ball to enter the homeowner’s living room through the window.

Up to this point, the homeowner, in a natural investigative role as a victim, has had only the benefit of his own powers of observation in forming his hypothesis. But now a couple of the boys in unison say, “Harry did it.” The investigative process has advanced through communication from informants. “Did you do it, Harry?” asks the homeowner. “Yes, sir,” answers Harry, dropping his head. The question and its answer are two other basic elements of communication—interrogation and admission.

Ideally, as in this example, the investigator’s work is simplified if given some direction by an informant, if witnesses are available and willing to cooperate, or if a suspect is known and can be interrogated. Such simplification is not to suggest that all is easy in the communications aspects of investigation. Quite the contrary! Developing informants, or developing a climate in which employees or nonemployees voluntarily will confide in you is not easy. It takes talent. The ability to extract painlessly all the information a witness may have requires training and experience. Only a skillful interviewer can get the specialist to explain the workflow of the finance unit so it is comprehensible and understandable.

Finally, the ability to interrogate, and in that interrogation to obtain voluntary admissions and confessions, requires a high level of skill. The point to be drawn is that communication, although not necessarily easy to manage well, is often extremely helpful to the investigative process. Unfortunately, it is not always available. In such circumstances, investigators must rely totally on observation, at least during the initial phases of the inquiry, as they seek to know the what, who, where, when, how, and why of a situation.

Observation

Scientific technology, in such areas as DNA analysis, forensic computer data examination, fingerprinting, high-speed and low-light videography, and document analysis, to name a few, plays a vital role in the observatory aspects of modern investigation. In our judgment, perhaps too much emphasis has been placed on technology and too little on human powers of observation. (Note: For an exercise in the human powers of observation, see Figure 1.1.)

This is not to suggest that, because computers and cloud-based storage are so sophisticated, we should return to only paper files and printed books. It is to emphasize that the common denominator of information technology and paper records is the aggregation and recall of useful information. Total reliance on computers leaves us vulnerable to prolonged power outages, a critical hard-drive crash, and total information loss should a computer virus attack. In an investigation, we want to gather, organize, analyze, and present factual information, and we should be able to conduct online research, dig through mountains of paper, hold video conferences, prepare multimedia presentations, or use any other means available to us.

Figure 1.1 What is wrong here? This cartoon can be used in investigator training classes by dividing the class into small groups and challenging each group to identify as many errors as they can find. At the conclusion of the timed period, each group shares its findings with the entire class—with widely varying and instructive results. Source: This work originally appeared in the Protection of Assets Manuals published by the Merritt Company and Tim Walsh in 1980 and 1981.

A remarkably wider range of important information is available to us through our own powers of observation than through the use of a laboratory. To see, touch, smell, and hear are all forms of observation. Did you ever touch the hood of an automobile to determine if it had been driven recently as evidenced by its warmth? Did you ever mark the label on a bottle of liquor to determine later if someone was taking unauthorized sips? Such uses of the power of observation are as natural and commonplace as eating and breathing. Consider the example of a shopper who returns to a new car, parked in the shopping mall’s lot, only to find a scratch, dent, or ding in the car door. It is...

Produkt-Details

• Erscheint lt. Verlag: 30.12.2014
• Sprache: englisch
• Themenwelt: Informatik ► Netzwerke ► Sicherheit / Firewall
• Themenwelt: Recht / Steuern ► EU / Internationales Recht
• Themenwelt: Recht / Steuern ► Strafrecht ► Kriminologie
• Themenwelt: Recht / Steuern ► Strafrecht ► Strafverfahrensrecht
• Themenwelt: Sozialwissenschaften ► Politik / Verwaltung
• ISBN-10: 0-12-800643-9 / 0128006439
• ISBN-13: 978-0-12-800643-6 / 9780128006436