Investigation

• An investigation is a planned and organized method of

determination of facts concerning specific events, occurrences or
conditions for a particular purpose.
• An investigation requires an investigator, a subject of investigation
and a purpose.

• Team of Investigators may be employed in a given particular situation.

 3 Tools for Investigator
• The purpose of an investigation is to determine the truth in a matter
under question.
• The three tools that an investigator uses during an investigation are
referred to as the three "I's":
A. Information
B. Interrogation
C. Instrumentation.
Qualities Of An Effective Investigation
• Five attributes characterize an effective and reliable investigation:
a. Objectivity
b. Thoroughness
c. Relevance
d. Accuracy
e. Timeliness
Objectivity
a. The investigator must accept any fact, regardless of its significance
to preconceived ideas.
b. Objectivity is achieved by recognizing the investigator’s personal
prejudices and compensating for or neutralizing his effect on the
investigation.
Thoroughness

• A thorough investigator checks all leads and checks key leads more
than once to assure consistency in results. When the statement of an
interviewee is critical, the facts should be reviewed several times if at
all possible without compromising the investigation.
Relevance, Accuracy
RELEVANCE
• Relevance means that the information developed pertains to the subject of
the investigation.
ACCURACY
• The mental processes that collect and sort data from the physical senses
often produce errors.
• Sound investigative techniques dictate frequent tests for verification. If
data is subject to physical measurement, it must be measured.
• If an informant is the only source of key data, the informant should be
tested at least for consistency in telling the version. All information must
be tested for inherent contradictions.
Timeliness

• Timeliness is an extension of thoroughness. It requires that the

investigation be carried to the latest possible point at which
information relevant to the investigation might be found.
• In investigations, it is important to
A. Open an investigation as soon as possible,
B. Complete an investigation as quickly as possible, and
C. Avoid closing al investigation prematurely,
The primary processes of any investigation

• Thoroughly documenting incidents (such as those reported to security staff

or officers)
• Identifying the cause of undesirable situations (e.g., notable losses, sudden
decrease in income or market share, unexplained shrinkage, inventory
discrepancies, etc.) where nefarious activity is suspected
• Documenting and correlating facts surrounding any situation or allegation
• Identifying suspects involved in a crime or act of misconduct
• Compiling information that proves or disproves an allegation or that
implicates or exonerates an individual suspected of committing a crime or
misconduct
Four objectives in an interview

At least four objectives in an interview

• To obtain valuable facts

• To eliminate the innocent
• To identify the guilty
• To obtain a confession
Interrogation
• When interviews are conducted in an accusatory or confrontational
manner-for example, to obtain the confession of an employee who
has defrauded the company of a large sum of money-they may be
called interrogations.
• The quality of an interview or interrogation plays a crucial role in the
successful completion of an investigation and in any ensuing
litigation.
Suspect and witness
• Suspect: A person who is believed to have committed an offense
based on accumulated evidence, proximity to the incident, motive,
access to restricted areas, witness statements, etc.
• Witness: Any person, other than a suspect, with information
concerning an incident. The witness may not have directly observed
the incident but may have facts that pertain to the matter under
investigation or they may be a one time informant who is eager to
provide information based on moral grounds.
• Caution needs to be taken with anonymous informants, as they are
the most likely to provide false or biased information.
Interview and Interrogation
• Key difference between an interview and an interrogation is in the
person being interviewed.
• The interview involves non accusatory questioning of anyone with
information that pertains to the matter under investigation.
• An interrogation, confrontational interview, or investigatory
interview is a very direct and sometimes accusatory session with a
person suspected of committing an offense.
Question Techniques
• Questioning techniques should be
• Objective,
• Factual questions focused on obtaining evidence.
• However, the process has a variety of objectives, which are defined by
the circumstances or the nature of the matter under investigation.
Interviewer
• The interviewer must appear professional, exude confidence, and interact well with
others.
• The interviewer's demeanor sets the tone of the interview. A negative attitude quickly
translates into negative results. By contrast, making positive comments on the
investigation and the interview indicates professionalism and an expectation of a
successful interview.
• Interviewers must know their own skills and emotions and recognize the personal
characteristics of the interviewee while eliciting information from that person.
• Interviewers must develop the skills to evaluate the truthfulness of the information
furnished and simultaneously to formulate additional lines of questioning.
• Inexperienced investigators often neglect the skill of listening when interviewing
suspects. Active listening includes attentiveness, concentration, acceptance,
detachment, and patience.
• Interviewers must be able to assess facts previously established in the light of information
provided by the interviewee.
Phases of investigation
• PREPARATION
• An investigator should take a number of actions in preparation for an
interview. The investigator normally has enough advance notice to
take the appropriate steps.
• GATHERING INFORMATION
• The investigator should become familiar with all available information
on the matter at hand before conducting an interview.
Understanding the Matter Under investigation
• The interviewer should have a basic understanding of the case's
current theory. All known facts on the matter under investigation
should be reviewed.
Background information on the interviewee
• With knowledge of some personal characteristics of the interviewee,
the interviewer can establish rapport more easily. A proper
understanding of those characteristics aids in accurate evaluation of
the interviewee's truthfulness.
Records Review
• Before conducting interviews, the interviewer should check the
records of the organization and other entities for pertinent
information.
• Discussion with Legal counsel
• The policy of the investigating enterprise or that of the client
frequently dictates which matters should be discussed with legal
counsel. In many instances, the client is not aware of the
nuances/accuracy of legal counsel and will depend on the expertise of
the investigator.
DOCUMENTATION OF THE INTERVIEW
AUDIO And VIDEO RECORDING
• An audio or video recording of the interview is a valuable tool for
conducting Investigation.
NOTES
• Note taking documents the subject's responses. To minimize
distraction, the interviewer should briefly note all the subject's
responses, using a form of shorthand.
INTERVIEW LOG
• A log of the interview should be made, It should include the same
details required in an audio recording (listed previously).