Sennewald CPP / Tsukayama CPP / Tsukayama The Process of Investigation

Concepts and Strategies for Investigators in the Private Sector
4. Auflage 2014
ISBN: 978-0-12-800643-6
Verlag: Elsevier Science & Techn.
Format: EPUB
Kopierschutz: 6 - ePub Watermark

E-Book, Englisch, 368 Seiten

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.

Autoren/Hrsg.

Sennewald CPP, Charles A.

Tsukayama CPP, Cfe

Tsukayama, John

Inhaltsverzeichnis

1;Front Cover;1
2;The Process of Investigation;4
3;Copyright;5
4;Dedication;6
5;Contents;8
6;Preface;20
7;Acknowledgments;22
8;About the Authors;24
9;Part 1 Fundamentals of Security Investigation;26
9.1;CHAPTER 1 - THE INVESTIGATIVE PROCESS;28
9.1.1;TWO CATEGORIES OF INVESTIGATION;28
9.1.2;THE INVESTIGATIVE PROCESS;29
9.1.3;THE CREATIVE PROCESS IN INVESTIGATION;33
9.1.4;REFERENCES;33
9.2;CHAPTER 2 - A COMPARISON OF PUBLIC AND PRIVATE SECTORS;34
9.2.1;SOURCE OF AUTHORITY AND FUNDING;35
9.2.2;SOURCES OF INFORMATION;35
9.2.3;JOB SECURITY;35
9.2.4;SCOPE OF WORK;35
9.2.5;IMAGE;35
9.2.6;CIVIL LIABILITY;36
9.2.7;TRAINING AND EDUCATION;36
9.2.8;TECHNICAL RESOURCES;37
9.2.9;PROFESSIONALISM;37
9.2.10;CAREER PATHS;38
9.2.11;ASSISTANCE;39
9.2.12;PERSONAL ACHIEVEMENT;39
9.2.13;OVERLAPPING MISSIONS;40
9.2.14;CONCLUSION;41
9.3;CHAPTER 3 - QUALITIES OF THE INVESTIGATOR;42
9.3.1;POWERS OF OBSERVATION;43
9.3.2;RESOURCEFULNESS;43
9.3.3;PATIENCE;44
9.3.4;INTERACTING WITH PEOPLE;44
9.3.5;UNDERSTANDING OF HUMAN BEHAVIOR;45
9.3.6;UNDERSTANDING LEGAL IMPLICATIONS;45
9.3.7;EFFECTIVE COMMUNICATION SKILLS;45
9.3.8;RECEPTIVITY;46
9.3.9;SENSE OF WELL-BEING;46
9.3.10;DEDICATION TO THE WORK;46
9.3.11;SELF-INITIATIVE;47
9.3.12;HEALTHY SKEPTICISM;47
9.3.13;INTUITION;47
9.3.14;ENERGY AND STAMINA;48
9.3.15;ACTING SKILLS;48
9.3.16;GOOD JUDGMENT;49
9.3.17;LOGIC;49
9.3.18;INTELLIGENCE;50
9.3.19;CREATIVE IMAGINATION;50
9.3.20;GOOD CHARACTER;51
9.3.21;SENSE OF PROFESSIONALISM;51
9.3.22;A SELF-QUIZ;51
9.3.23;TRUE SUCCESS;51
9.3.24;REFERENCES;53
9.4;CHAPTER 4 - MANAGING THE INVESTIGATIVE FUNCTION;54
9.4.1;THE MANAGER AS INVESTIGATIVE COUNSELOR;54
9.4.2;THE MANAGER AS TRAINER;55
9.4.3;THE MANAGER AS CONTROLLER;57
9.4.4;THE MANAGER AS MOTIVATOR;62
9.4.5;THE MANAGER AS EVALUATOR;63
9.4.6;REFERENCES;63
10;Part II METHODS OF SECURITY INVESTIGATION;64
10.1;CHAPTER 5 - UNDERCOVER INVESTIGATIONS;66
10.1.1;TECHNIQUES AND METHODS;67
10.1.2;PROBLEM AREAS;73
10.1.3;THE ABSENCE OF PROFESSIONALISM;75
10.1.4;CONCLUSION;76
10.2;CHAPTER 6 - SURVEILLANCE;78
10.2.1;COVERT VERSUS OVERT SURVEILLANCE;78
10.2.2;THE STATIONARY SURVEILLANCE;80
10.2.3;THE MOVING SURVEILLANCE;84
10.2.4;MOVING AND STATIONARY SURVEILLANCE;85
10.2.5;CONCLUSION;91
10.3;CHAPTER 7 - BACKGROUND INVESTIGATIONS;92
10.3.1;WORKPLACE VIOLENCE;93
10.3.2;THE APPLICATION PACKAGE;93
10.3.3;POST-HIRE SCREENING;99
10.3.4;REFERENCES;103
10.4;CHAPTER 8 - DISCOVERING COVERT CRIMES;104
10.4.1;DEPLOYMENT OF UNDERCOVER AGENTS;105
10.4.2;SHOPLIFTING SURVEILLANCE;114
10.4.3;REFERENCES;116
11;Part III BUILDING A CASE;118
11.1;CHAPTER 9 - INTERVIEWS AND INTERROGATIONS;120
11.1.1;INTERVIEWING;121
11.1.2;INTERROGATION;127
11.1.3;PREPARING FOR THE INTERROGATION;129
11.1.4;CONCLUSION;135
11.1.5;REFERENCE;136
11.2;CHAPTER 10 - AN OVERVIEW OF THE INTERVIEW AND INTERROGATION PROCESS;138
11.2.1;DEMEANOR;139
11.2.2;RAPPORT;139
11.2.3;INTERVIEW AND INTERROGATION;140
11.2.4;CONDUCTING THE INTERVIEW;146
11.2.5;SELLING THE INTERVIEW;149
11.2.6;STATEMENT ANALYSIS—THE UNTAINTED STORY;149
11.2.7;FACT GATHERING;150
11.2.8;LIFESTYLE INTERVIEWS;151
11.2.9;COGNITIVE INTERVIEWING;151
11.2.10;COMMON INTERVIEWER ERRORS;153
11.2.11;BEHAVIORAL INTERVIEWING;153
11.2.12;DIAGRAMS;154
11.2.13;INTERROGATION;154
11.2.14;DECISION TO CONFESS;155
11.2.15;RATIONALIZATION;156
11.2.16;DENIALS;156
11.2.17;METHODS OF INTERROGATION;158
11.2.18;DOCUMENTING THE CONFESSION OR THE INTERVIEW;161
11.2.19;CONCLUSION;161
11.2.20;SUGGESTED READING;162
11.3;CHAPTER 11 - EVIDENCE;164
11.3.1;DEMONSTRATIVE EVIDENCE;164
11.3.2;DOCUMENTARY EVIDENCE;171
11.3.3;SOME RULES AND DEFINITIONS OF EVIDENCE;174
11.3.4;A FINAL WORD ABOUT EVIDENCE;175
11.3.5;REFERENCE;176
11.4;CHAPTER 12 - WRITTEN STATEMENTS, ADMISSIONS, AND CONFESSIONS;178
11.4.1;WRITTEN STATEMENTS;178
11.4.2;ALLOWABLE USES OF STATEMENTS;181
11.4.3;HISTORICAL BACKGROUND;182
11.4.4;TYPES OF CONSTRAINTS;185
11.4.5;CONFESSIONS AND ADMISSIONS;187
11.4.6;THE WRITTEN ADMISSION;188
11.4.7;VIDEOTAPED CONFESSIONS;189
11.4.8;VALUE OF THE CONFESSION;190
11.4.9;REFERENCE;190
11.5;CHAPTER 13 - THE USE OF INFORMANTS;192
11.5.1;PROFESSIONAL CONTACTS;192
11.5.2;INFORMANTS;193
11.5.3;THE ANONYMOUS INFORMANT;196
11.5.4;INFORMANT CONTROL STAGES;199
11.5.5;MAXIMIZING POTENTIAL FOR CONTROLLED INFORMANT RECRUITMENT;203
11.5.6;UNEXPECTED DIVIDENDS;203
11.5.7;TREATMENT OF INFORMANTS;203
11.5.8;THE NEED FOR CORROBORATION;204
11.5.9;REFERENCES;204
11.6;CHAPTER 14 - REPORT WRITING AND NOTE TAKING;206
11.6.1;DEFINING THE INVESTIGATIVE REPORT;206
11.6.2;NARRATIVE REPORTS;206
11.6.3;STRUCTURED OR FORMALIZED REPORTS;212
11.6.4;NOTE TAKING;213
11.6.5;LARGE CASE REPORT FORMAT;213
11.6.6;SUMMARY;218
11.6.7;REFERENCE;218
12;Part IV APPLYING INVESTIGATIVE STRATEGIES;220
12.1;CHAPTER 15 - PROBLEMS ARISE: THE WHAT OF INVESTIGATION;222
12.2;CHAPTER 16 - CRIME AND SOLUTION: THE HOW OF INVESTIGATION;226
12.2.1;SCIENTIFIC DETECTION METHODS;227
12.2.2;HOW WAS IT ACCOMPLISHED? (COMMISSION STRATEGY);228
12.2.3;HOW CAN THE CRIME BE SOLVED? (SOLUTION STRATEGY);230
12.2.4;THE MODUS OPERANDI;233
12.2.5;SELECTING THE SOLUTION STRATEGY;233
12.2.6;REFERENCE;236
12.3;CHAPTER 17 - IDENTIFYING SUSPECTS: THE WHO OF INVESTIGATION;238
12.3.1;THE PROCESS OF ELIMINATION;238
12.3.2;READING THE PHYSICAL EVIDENCE;240
12.3.3;THE INVESTIGATIVE INTERVIEW;242
12.3.4;COMBINING TECHNIQUES;245
12.3.5;SUMMARY;247
12.4;CHAPTER 18 - FINDING INFORMATION: THE WHERE OF INVESTIGATION;250
12.4.1;SOURCES OF INFORMATION IN THE PRIVATE SECTOR;253
12.4.2;DIRECTORIES AND PERIODICALS;256
12.4.3;INFORMATION SOURCES IN LOCAL GOVERNMENT;258
12.4.4;INFORMATION SOURCES IN STATE GOVERNMENT;259
12.4.5;OTHER SOURCES;261
12.4.6;REFERENCES;263
12.5;CHAPTER 19 - THE TIME FACTOR: THE WHEN OF INVESTIGATION;264
12.5.1;METHODS OF ESTABLISHING TIME;265
12.5.2;HOW TO PRE-ESTABLISH TIME;270
12.6;CHAPTER 20 - ESTABLISHING MOTIVE: THE WHY OF INVESTIGATION;274
12.6.1;MOTIVATION AND DETECTION STRATEGY;275
12.6.2;MOTIVES FOR THEFT;276
12.6.3;MOTIVE AND RESPONSE;278
12.6.4;SUMMARY;279
12.6.5;REFERENCES;285
13;Part V TECHNOLOGICAL AND SPECIALIZED INVESTIGATIVE TECHNIQUES;286
13.1;CHAPTER 21 - IMAGERY;288
13.1.1;PHOTOGRAPHY AND EQUIPMENT;288
13.1.2;SCENE DOCUMENTATION;297
13.1.3;THE FUTURE OF INVESTIGATIVE PHOTOGRAPHY;298
13.1.4;REFERENCES;300
13.2;CHAPTER 22 - COMPUTERS IN PRIVATE SECTOR INVESTIGATIONS;302
13.2.1;A CHANGING INVESTIGATOR’S WORLD;302
13.2.2;COMPUTERS AS INVESTIGATIVE TOOLS;302
13.2.3;COMPUTERS AS OBJECTS OF EVIDENCE;302
13.2.4;COMPUTERS AS TOOLS;304
13.2.5;COMPUTERS AS OBJECTS OF EVIDENCE;312
13.2.6;A FINAL NOTE ON CYBERCRIME;319
13.2.7;REFERENCES;319
13.3;CHAPTER 23 - TARGETED VIOLENCE INVESTIGATIONS;322
13.3.1;TYPES OF WORKPLACE VIOLENCE;323
13.3.2;SIGNIFICANCE OF WORKPLACE VIOLENCE;323
13.3.3;A COMMON MISTAKE;324
13.3.4;THREATS;324
13.3.5;A THREAT IN THE WAREHOUSE;335
13.3.6;THE LONG VIEW;337
13.3.7;REFERENCES;338
13.4;CHAPTER 24 - DISCRIMINATION INVESTIGATIONS;340
13.4.1;DISCRIMINATION AND HARASSMENT;342
13.4.2;REFERENCES;358
14;Index;360

Leseproben

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...