Investigation & report writing

Gruppo Eslabon
Human Resources Department
Training Branch

Gruppo Eslabon
 DAVID A. FLOR, CSP
Corporate HR Director
 HENRY S. SALONGA, CSMS
Director for Special
Projects/ Training/ SeminarsTRAINING BRANCH OFFICERS/INSTRUCTORS
ANTONIO D. FUNCION Jr., CSP
DAVID R. MEGUINES, CSP
AOM ALISON R. REALUYO
AOO FERDINAND CAMILO C. KIMURA

Gruppo Eslabon
 DAVID A. FLOR, CSP
Corporate HR Director
 HENRY S. SALONGA, CSMS
Director for Special
Projects/ Training/ SeminarsHUMAN RESOURCES DEPARTMENT OFFICERS
Ms. GINA AHAT
Mr. FERDINAND CAMILO C. KIMURA
Ms. SHERYL LOCSING
Mr. JOHN H. SERNA

INVESTIGATION
AND
REPORT WRITING

INVESTIGATION
is actually gathering the facts,
finding out the truth
surrounding a particular case
and bringing to justice those
found to be liable.

ESSENTIAL ELEMENTS OF
INVESTIGATION:
• WHO?
• WHAT?
• WHERE?
• WHEN?
• WHY?
• HOW?

SOME INDICATORS TO DETERMINE IF
A PERSON IS LYING
1.The subject under
investigation or under
interview may have his eyes
set at the ceiling of the room,
appearing to be searching for
something.

2. He/she may continuously delay the answers
by saying “AHHH! I DON’T KNOW”, “YOU MAY
ASK _____?”, GOD KNOWS THAT I DID NOT
DO IT”, I SWEAR ON THE GRAVE OF MY
FATHER/MOTHER THAT I DID NOT DO IT”,
“_____ SAID IT TO ME DURING THE TIME I
WAS IN _____ ATTENDING TO MY
UNFINISHED WORK AT _____” or may invent a
lot of delaying tactics.
A PERSON IS LYING

4. His hands may move a lot,
turning from right to left or
vice versa.
5. He may cross his left or
right leg most of the time.
A PERSON IS LYING

6. He may also say “ASK _____ FOR MY
WHEREABOTS DURING THE SAID TIME”.
7. If he is already cornered into answering
questions, he may adopt the lines “I
WOULD PREFER REFERRING THE MATTER
TO MY LAWYER” or “I WILL ANSWER
YOUR QUESTIONS IN COURT OF LAW”.
A PERSON IS LYING

8. And a lot of delaying tactics.
A PERSON IS LYING

• During investigations, the investigator usually
asks, in cases of theft, robbery, murder, homicide
or the like, “DID YOU DISTURB THE EVIDENCE?”
meaning “DID YOU TOUCH OR MOVE ANYTHING
INSIDE THIS ROOM?”. This is important since
unmoved evidence inside the room, be it a
jewelry box, safety deposit box or scratches on
the doorknob, will be examined by the PNP-SOCO
after policemen arrive. This will aid the
investigator in getting leads to solve the said
crime.

• In statement taking, you may adopt the question
and answer type for the complainant and
witnesses. Or you may adopt the affidavit form
or simply ask the complainant and witnesses to
put their statement(s) in their own handwriting.

• For suspects, you must advise them of
their constitutional rights under the
Miranda Ruling such as “YOU ARE UNDER
INVESTIGATION FOR THE CRIME OF
______. AS A SUSPECT, MAY I ADVISE YOU
THAT YOU HAVE THE RIGHT TO REMAIN
SILENT, ANYTHING YOU SAY MAY BE USED
FOR OR AGAINST YOU IN COURT OF LAW.
YOU HAVE THE RIGHT TO COUNSEL OF
YOUR OWN CHOICE, IF YOU CANNOT…

…. AFFORD THE SERVICES OF A PRIVATE
COUNSEL, THE GOVERNMENT WILL PROVIDE
ONE FOR YOU. DO YOU FULLY UNDERSTAND
YOUR RIGHTS UNDER THE CONSTITUTION?”
Always bear in mind that you may not take
the statement of a suspect during times that
he does not have a private lawyer to guide
him in answering questions.
In report writing, you should remember to
indicate the events in chronological order,
meaning from start to finish.

MIRANDA RIGHTS
• The Miranda warning (also referred to
as Miranda rights) is a warning given by
police in the United States to criminal
suspects in police custody (or in a
custodial interrogation) before they are
interrogated to preserve the
admissibility of their statements against
them in criminal proceedings.

MIRANDA RIGHTS
• In other words, a Miranda warning is a
prophylactic criminal procedure rule that law
enforcement is required to administer in
order to protect an individual who is in
custody and subject to direct questioning or
its functional equivalent from a violation of his
or her Fifth Amendment right against
compelled self-incrimination.

HERE IS THE BASIC EXAMPLE ON HOW
TO MAKE A DETAILED INVESTIGATION
REPORT
I. AUTHORITY:
This investigation was conducted
pursuant to the instruction of
Managing Director __________ at
about _____ of __________ 2011.

II. BRIEF STATEMENT OF THE CASE
• At about _____H of __________ 2011, one
__________ was found to have in his possession,
during body frisking and inspection of outgoing
workers, ___ meters long of ______ wire. During
questioning, he readily admitted participation in
the said fiasco and told that he is willing to
undergo any penalty that will be implemented as
a result of his offense. After being referred to
Project Manager __________, he was sent to the
nearby Police Precinct No. ___ for proper
disposition.

III. MATTERS INVESTIGATED
• To look into the facts and
circumstances surrounding the
mysterious loss of ___ wire at
__________ and to bring to
justice those found to be liable.

• In his statement dated __________
2010, a copy of which is hereto
attached as Annex “A”, construction
worker FRANCISCO MORALES
substantially stated . . . . . . . .
IV. FINDINGS
• Investigation conducted by the
undersigned disclosed the following:

• RONALDO VALDEZ, in his statement
dated __________ 2010, a copy of
which is hereto attached as Annex “B”,
he significantly averred that . . . . .
• …..
• …..
• …..
• …..

V.
COMMENTS/RECOMMENDATIONS
• It appears from the foregoing that …..
• In view of the above, it is respectfully
recommended that …..
• For your information and approval.

• In investigation reports,
never commit the mistake of
giving a conclusion as it is
only the Fiscal or the Judge
that airs conclusions in the
form of “RESOLUTIONs”.

Things to Ponder on:
On Investigation
“Doubt, indulged and cherished, is in danger of
becoming denial; but if honest, and bent on
thorough investigation, it may soon lead to full
establishment of the truth...”
- Ambrose Bierce

Security InvestigationsSecurity Investigations
29

INVESTIGATION
Definition
INVESTIGATION – is a planned and organized determination of
facts concerning specific events, occurrences or conditions for
a particular purpose.
SECURITY – is the protection of property of all kinds from loss
through theft, fraud, fires, threats or hazards
30

SECURITY INVESTIGATION – is a planned and
organized determination of facts concerning
specific loss or damage of assets due to threats,
hazards or unsecured conditions.
31

In the industrial security setting, the usual activities of an
investigator falls generally into the following categories:
1. An applicant background check.
2. Incident investigation of actual or suspected
crimes or company rule infringement.
3. Administrative inquiries which include everything
else.
32

In cases, CRIMINAL in nature , law enforcement matters
should be turned-over upon gathering of initial
information
33

ELEMENTS OF INVESTIGATION
• Investigator
• Purpose
• Subject of the Investigation
34

TOOLS OF THE INVESTIGATION (3 I’s)
Information - knowledge which the
investigator gathers from other persons.
1. Acquired from regular sources
2. Acquired from cultivated sources
35

Interrogation
The skillful questioning of
witnesses as well as
suspects.
36

Instrumentation
The application of
instruments and
methods physical
sciences to the detection
of crimes.
37

THREE-FOLD AIM OF INVESTIGATION
• To identify the offender
• To locate the offender
• To provide evidence
38

QUALITIES OF AN EFFECTIVE INVESTIGATION
• Objective
• Thorough
• Relevant
• Accurate
• Current
39

CHARACTERISTICS OF A SUCCESSFUL INVESTIGATOR
• Observant
• Resourceful
• Patient
• People-oriented
• Understanding of human behavior
• Understanding of legal implications of
the work
40

• Possessed of good communication
• Self-starting
• Healthfully skeptical
• Intuitive
• Energetic
• An actor
• Possessed of good judgment
41

Systematic Approach to Investigation
A. Define the investigative problem
 Know the reason for the investigation – Criminal or administrative?
 Know the particular phases or elements of investigation.
 Know whether the investigation is to be handled overtly or discreetly.
 Know the priority.
 Know the origin of the information.
42

B. Collection of Relevant Data
Prepare a written investigative plan. This covers the following:
1. Information needed
2. Methods used in gathering information
3. Location of sources to furnish this information
43

Methods and Sources to be Used
» Personal observation
» Undercover
» Surveillance
» Raids and seizures
» Direct visit to the scene
44

– Use of interrogation or interview
– Use of recruited informants
– Liaison with agencies who possess the information
45

Study of the Documents or Records
• Operational files
• Identity of documents
• Newspapers, books, periodicals, etc.
• Correspondence, letters, mails, telegrams, etc.
46

C. Analysis and Verification of the
Information Gathered
Analysis involves a study of information on the basis of
the following:
– Data collected should be appropriate.
– Information supplied must be factual.
47

Verification method
involves :
• Personal observation of the agent
• Secure reliable statements from individuals
• Documents or physical evidence
48

D. Drawing the
Conclusion.
– Is the function and
responsibility of the person
requesting the investigation.
49

GUIDELINES IN AN
INVESTIGATION
50

Preliminary Investigation
P - proceed to the scene promptly and safely.
R - render assistance to the victim. if any
E - effect the arrest of the offender.
L - locate and identify the witnesses.
I - interview the complainant and the witnesses.
M - maintain the crime scene and protect the evidence.
51

I - interrogate the suspect/offender.
N - note all conditions, events and remarks.
A - arrange for the collection of evidence.
R - report the incident fully and accurately.
Y - yield the responsibility to the follow-up
investigation.
52

INVESTIGATION PROPER
• Search of the crime scene.
• Photographing of the crime scene.
• Crime scene sketch.
• Care of evidence.
53

Incident / Complaint
type investigation
54

GENERAL FACTS
• The incident type investigation is also known as a complaint
type investigation.
• An investigator might begin with a personal observation,
more often a report of some kind is made by someone,
stating the facts or conditions, actual or alleged, into which an
investigation is to be conducted.
• He needs to determine if there is a basis of complaint or
report about some event or condition.
55

INVESTIGATIVE PROCESS
• The investigative process begins with the acquisition
of the initial information which the investigation is
based or predicated. It ends when the last piece of
physical, testimonial or directly observed date has
been collected.
• The investigative process then moves into analysis
and report-writing process.
56

THE INVESTIGATIVE ANALYSIS
• Preliminary analysis of the investigative steps to be taken will
be made by someone who assigns and reviews investigation
as well as by the investigator.
• This analysis will result to a note or list of the investigative
steps to be taken and in some instances the sequences.
57

The Investigator determines in advance
the precise location and availability of persons or
premises to be interviewed or viewed.
Other preliminary observations needed should
include (next slide):
58

• Is the prime or another informant a member of
the bargaining unit (labor union) ? If so, what is
the policy should the informant request
representation during the investigative interview?
• Have all the persons, events and locations
mentioned in the complaint been checked
through security investigative indexes and the
results noted?
59

– Should any operating or executive management
personnel be notified of the initiation of this
investigation before further steps are taken?
– Does it appear that recording or photographic
equipment will be needed? If so, is it in serviceable
condition?
– Is the matter one in which more than one security
investigator will be required?
60

SEQUENCE OF INVESTIGATIVE LEADS
Subject to the circumstances of the situation, the following
general rules can be established for priorities:
• Interview first those persons not likely to remain available for
later interview.
• Interview next those persons with the most extensive
information or the most fundamental.
61

• Interview next those persons with relevant but
less extensive information, such as those
witnesses or are familiar with a part of the
subject matter.
• Interview last those persons likely to be
hostile.
62

• Observe first those events or locations which will not be
later available for observation or which may change
unless observed promptly.
• Observe later those events or locations whose general
character is irrelevant, but whose particular condition at
the given time is not.
63

THE INTERVIEW OF NON-HOSTILE INFORMANTS
• It should be first noted that an interview
conducted at the security office affords better
control of the environment.
• Show consideration for the comfort and
convenience of the interviewee.
• If possible, lengthy interviews can be preserved on
audio tape recordings, making their total
reconstruction later.
64

The use of covert sound recording
should always be evaluated carefully.
65

WHAT AN INTERROGATOR SHOULD KNOW ABOUT
PSYCHOLOGY
• Human being tend to be talkative, especially after harrowing
experiences.
• Human beings tend to be defensive when confronted by superior
authority.
• Human being tend to rationalize acts about which they feel guilty.
• Human beings in hectic situations tend to be unable to apply or
remember lessons they have been taught regarding security.
66

• Human being normally do not wish to antagonize
those who have power over them and are,
therefore, tempted to be cooperative with those
in control.
• Human beings tend to attach less importance to
what they think is their exclusive knowledge when
someone else demonstrates that he too possesses
a great portion of that knowledge.
67

• Human being tend to like being flattered and
exonerated from guilt.
• Human beings are inclined to respond to kindness
and understanding, especially in dire conditions.
• Human being resent having something they
respect belittled, especially by someone they
dislike.
68

PREPARATION
Physical Aspect
– The ideal interrogation room should be exclusive
– Room should be well lighted
– Room should be furnished chairs, rugs and shades made of plain materials
– Walls and ceiling painted a neutral shade
70

– Nothing in the room to distract attention in working condition
– No telephones
– Provided with sound recording devices in working condition
– No interruption during interrogation
71

Mental Aspect
– Interrogator must be familiar with all aspects
of the investigation.
– Must never place himself on the defensive for
lack of knowledge of the case.
– Take advantage of slips made by suspects.
– Check all appropriate files or records.
72

• Be able to determine what he knows. What he
must find out and what the suspect.
• Techniques he intends to use to obtain the
desired information.
73

TYPES OF SUSPECT - According to Attitude & Personality
• Talkative type
• Pathological liar
• Disinterested type
• Imprudent type
• Explainer
• Shy and reticent
• Know-nothing type
• Fearful type
74

PLAN YOUR APPROACH
• Direct approach – suspect is allowed to
speak/talk freely.
• Emotional approach – discover type of
emotion to use to obtain an admission.
• Trickery – one suspect is played against the
other.
• The location trick – mentions a false episode.
75

• Hate and revenge – clever hints referring to a
double cross and confession of an accomplice.
• National pride – appeal on nationalism or love of
country.
• Kindness and sympathy – let suspect understand
that you are fair and will see that justice is
accorded.
• Mutt and Jeff – use of two interrogators, one who
is hostile and another sympathetic.
76

INTERROGATION PROPER
• Explain his rights under the Constitution or code. – What are
his rights?
• Begin with background questions.
• Study subject’s reactions for determination of the technique
to be used, the emotions to be played upon.
• Pick up new leads.
77

ARTICLE III, Section 11 of the
1987 Constitution
78

CONSTITUTIONAL RIGHTS OF THE ACCUSED IN
CRIMINAL CASES
Any person under investigation for the commission of an offense shall have the right
to remain silent and to have competent and independent counsel preferably of
his own choice. If the person cannot afford the services of a counsel, he must be
provided one.
1. The right against the use of torture, force, violence, threat, intimidation
or any other means which vitiates his free will.
2. The right to bail , if applicable and against excessive bail.
These rights cannot be waived except in writing and in the presence of counsel.
79

PURPOSE
• Record - the report provides a permanent official
record of the investigation.
• Leads - the report provides other investigators with
information necessary to further advance the
investigation.
• Prosecutive Action - the report is a statement of facts
on which designated authorities may base a criminal,
corrective or disciplinary action.
81

NATURE AND QUALITIES
• The report must be objective statement of the investigation
findings.
• The report must be an official record of the information
relevant to the investigation which the investigator submits to
his superior.
• The report must be clear, brief, accurate, impartial but
complete.
82

PARTS OF THE REPORT
1. Administrative Data
– Date
– File Number
– Subject
– Complaint
– Reporting Investigator
– Office of Origin
– Status
– Distribution
83

2. Synopsis - brief in description of the actions
of the perpetrator as established in the
body of the report.
3. Details of the report - objective of the
investigation.
84

4. Conclusion and Recommendation -
includes the investigator’s opinion,
conclusions and recommendations.
5.Enclosures - photographs, sketches,
sworn statement, etc.
85

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