IS 4: Corporate and Security

Investigation and Report

Writing

Zillah A.
Tacang,RCrim,CSP
ICJE Instructor
 CLASS RULES

 Attendance (Three consicutive absencies= Drop)

 Late (15 minutes only, consecutive late= Drop)
 Deadline on Submission of requirements (NO
EXTENSTION)
 Complete School Uniform during face to face class
 Proper Haircut
 Respect to everyone
 GRADING SYSTEM

30%- Written Output (Quizes, Essays, Reflection,

Assignements)

20%- Exam ( Midterm and Final) No permit no Exam

50%- Performance ( Oral, Class participation,

Attendance, Reporting)
TOTAL : 100%
 TYPES OF INVESTIGATIONS
The Activities of Investigators fall generally into the following categories:
1. An applicant and Background checks.
2.Incident investigation of actual or suspected crime or company rule
infringement.
3.Administrative inquiries which include everything else.

A COMPLETE LIST WOULD INCLUDE:

1. Background Checks and reliability checks.(Including pre-employment during

employment) Ex. Lifestyle
*Background Investigation should be complete prior to starting
work and their purpose is to*
a.) Verify the accuracy completeness of applicants statements:
- Gaps in employment
-Willful omissions of material facts
-Lies about education
b.) Obtain any additional relevant information
c.) Determine and Assess suitability for initial employment
d.) Assess suitability for continued employment

2. Claims Checks (including insurance, workers compensation etc.)

3. Employee Misconduct
4. Espionage Misconduct
5. Explosive, Bombing and Arson Investigation (including bomb threats etc.)
6. Sabotage Investigation
7. Theft Investigation
8. Traffic Investigation
9. Traffic Accident Investigation (including traffic, machine incident injury etc.)

AS A GENERAL RULE, BACKGROUND CHECKS SHOULD BE

CARRIED OUT PRIOR TO COMMENCEMENT OF EMPLOYMENT.

COMPLETED APPLICATION FORM

- Is the most important information collecting tool: and questions are the principle tools of
interview.
- should include a signed declaration as to accuracy and authority for checks to be made
and acknowledgement that misstatements will lead to termination.
*By careful design of the application form it can reveal the
important information pertinent to the investigation, for example:
a) Appicant’s full name and variations including aliases and married names
b) References to verify gaps in employment
c) Security clearances
d) Previous Education
e) Other certificates or specialized training received
f) Employment history
g) Friends and relative currently employed by the company
h) Persons to contact in cases of emergency
i) Records of criminal history
j) Organization affiliation
k) Address history
Based on this information and depending on the job requirement and
the vetting budget enquiries should be conducted into:

a) The applicants employment history, including

information from previous employers(including
interviews with former employees and work
associates), and additional all employment gaps
should be accounted for.
b) All previous address including neighborhood
investigations
c) All personal references
d) Education qualifications
e) Civil and Criminal court records
f) The applicants credit history and financial status
 LIFESTYLE (FINANCIAL) INVESTIGATIONS
“Earning to Debt Ratio”- In lifestyle investigation it is the most
important action, the examination of
earning to debt ratio.

*REMEMBER THERE MAY WELL BE A LIGITIMATE REASON FOR THE

APPARENT WEALTH OF THE EMPLOYEE. LIFESTYLE CHECKS
SHOULD BE CARRIED OUT FOR:

a) Employees who are being considered for promotion of

transfer responsible positions (with permission),
b) Employees who are suspected of crimes such as fraud,
embezzlement etc.
c) Periodic checks ( usually every eighteen months) for sensitive
positions: accountants, purchasing staff, tenders, board
ROUTINE LIFESTYLE CHECKS- Should be
conducted with permission and shoud be
requisite for the post.
GENERAL INFORMATION:
It is recommended that where possible/practical
tape-record lengthy interviews with interviews
permission. Where the information is so
important to the inquiry and it might be unwise
to alert the suspect, and then record it without
their knowledge.
This practice is not illegal as a general rule, as
 SUMMARY OF POTENTIAL PITFALLS:
A) Information obtained may be leaked to others
b) Claims of invasion of privacy
c) Claims of Unfair Labor Practice
CLAIM INVESTIGATIONS:
Accident and incident claim investigations in an organization are
important for two main reasons:
1) To gather in all the information and present the facts to the
companys insurer:i.e to be seen to be acting in a proper and
speedy manner: and
2) To provide such information which may limit the employing
companys liability and identify false claims or claims which might
be exxagerated, for compensation.
Newspaper and other media reports along with report from expert

-such as vehicle and machine plant appraisers, medical experts and doctors, laboratory
scientists and forensic experts and handwriting experts.
VISUAL AIDS- Such as diagrams, photographs, videos, movies, slides, x-rays, and models
will be important.
DOCUMENTARY EVIDENCE- From deeds, leases, and contracts: and details of any LIENS
and SUBROGATION claims applicable.

LIEN: a right over anothers property to protect a debt charged on that

property.
SUBROGATION: The substitution of one party for another as creditor, with
the transfer of rights and duties.
 THE IMPORTANT ELEMENTS OF A CLAIMS
INVESTIGATION
a) The report of the accident
ARE:
b) All coverage information such as the identification of vehicles, premises, and products
c) Statements from all eye-witnesses, and “fact” witnesses, insured claimant and
independent witnesses.
“OFFICIAL” REPORT SOURCES- Other important information will come from this
such as Police, Federal, State, Country and Municipal Authorities, Motor vehicle Inspectors,
Fire Authorities, Hospitals and such documents as death certificates, birth records,
marriage certificates and official weather reports.

INTERVIEWS- very important in these investigation and should result in the obtaining of
statements either narrative or question and answer.

A CLAIM REPORT SERVES A NUMBER OF PURPOSES:

1. It provides a permanent record
2.It provides a summary of all claims: and
3. It brings together the various parts of the file.
 EMPLOYEE MISCONDUCT
INVESTIGATION
- These are conducted either to determine if company regulations have been violated or
determine wether state or federal laws have been violated. All internal investigations must be
conducted in a discreet manner and may utilize some of the following techniques:
a)Interviews on a selected basis
b)Searches to locate and preserve physical evidence
c)Physical surveillance
d)Use of confidential sources
e)Photographic aids, and;
f)Checking of pertinent records
*Gathering DEROGATORY INFORMATION about an employee for possible future use
is not a legitimate purpose for investigation*
 COMMON SYMPTOMS OF
a)ADDICTS ARE:
A peculiar glistening look in the eyes, trembling hands, sallow skin, and wan cheeks.
b)If the user sniffs drugs there will be sign of redness or ulcers in the nose.
c)If the user injects drugs then rashes on the skin develop from the use of the needles.

NARCOTICS AND ALCOHOLIC INVESTIGATION

Internal Investigations into charges of use of narcotics should beart
the following points in mind:
1. Drugs can be carried in a number of ways including prescription
bottles, fountain pens, toothpaste tube, etc.
2) The best approach to questioning is to assume the suspect is
innocent until proven guilty.
3)Chronic use of drugs is generally considered an indication of mental
or emotional illness.
4) Drug abusers have common characteristics of feeling they cannot
manage without drug support, and;
A CRAVING FOR THE DRUG IS
NORMALLY SHOWN BY:
1. Runny nose and eyes;
2.Frequent yawning and sneezing;
3.Continual itching of arms and legs; and
4. Dilation of the pupils
WITH INTERNAL INVESTIGATIONS INTO ALCOHOLISM THE
FOLLOWING SHOULD BE NOTED:
1. Excessive use of alcohol is a growing concern of industry.
2. Alcohol Abuse is usually indentified by:
-Drunkenness on the job
-Absenteeism
-Prone to accidents
-Arrest for drunkenness, and
-Reports from others

*AN INVESTIGATOR SHOULD CONSIDER THE FOLLOWING CHECKS

FOR THOSE SUSPECTED OF ALCOHOLISM*
-Attendance records -Health and Accident records;
-Credit - Nearby bars
 EMPLOYEE MISCONDUCT
-Another area for internal investigation is employee misconduct and some of the
difficulties facing the investigator are that other employees may be reluctant to talk
and many supervisors tend not to want to get involved.

ACTS OF FRAUD OCCUR IN A VARIETY OF FORMS, SUCH AS THE FALSIFICATION OF:

a) Employee time-cards/Biometric;
b)Application forms;
c)Injury claims and
d)Fraudulent accident claims (most difficult to deal with as no preventive measures
can be effectively instituted)

ESPIONAGE INVESTIGATIONS
Industrial or business espionage- is a very real problem and a growing one. In simple
terms it is the unethical practice of one company to learn the secrets of their
competitors.
 THE CATEGORIES OF INFORMATION OR DATA MOST BUSINESS STRIVE TO KEEP
CONFIDENTIAL ARE:
-Research and Development
-Pricing
-Product Promotion
-Expansion or Relocation
-Style Changes
-Management Changes
-Competitive Bidding
-Finance
-National Defense Matters

METHODS TO EMPLOY TO CONDUCT INDUSTRIAL ESPIONAGE INCLUDE:

-Burglary
-Infiltration
-Electronic Methods (bugging,wiretaps)
-Bin Searches
-Bribery
-Blackmail
-Listening to talkative employees
INTERNAL INFORMATION LEAKS CAN BE MINIMIZED BY USE OF THE
FOLLOWING PRACTICES:
a)Careful screening of prospective employees;
b)Screen subcontractors staff and outside personnel e.g Cleaners,catering staff
c)Train and sell to employees the need to protect companys secrets;
d)Employ a clean and locked desk policy, both after hours and during any periods of
absence from the office

*EXPLOSIVES,BOMBINGS AND ARSON INVESTIGATIONS*

EXPLOSION
- defined as a sudden,violent, and noisy eruption, outburst or discharge by
materials acted upon with force such as fire, shock, or electrical charge, which
cause the material, either solid or liquid to convert into gas and violently expand
or burst.
-defined as a sudden bursting outwards whereas an implosion is a sudden bursting
inward.

THE THREE BASIC RATES OF EXPLOSION

1. Flash fire
2. Explosions
3. Detonations
Flash fires- usually occur in the open but if confined within a structure would probably be an
explosion.
Detonations- are multiple of compounded explosions.

THE BASIC OF EXPLOSIONS

1. Boiler
2. Flammable Gas
3. Chemical
4. Dust
5. Nuclear
6. Sonic

2 TYPES OF SUBSTANCES HAVING DETONATION PROPERTIES

a.Low Explosives (Black powder, nitrocellulose, smokeless powder)
b.High Explosives (Nitroglycerine, dynamite, nitro starch,
TNT, picric acide (yellow colored crystalline solid).
mercury fulminate, tetryl, lead azide nitromannite.)
 “NOTE: SMOKELESS
POWDER IS NOT
SMOKELESS”
ARSON- under the common law, Arson was “the maliscious and willful burning of the house of outbuilding of another
man”.`Today, the crime of arson by statue covers a wide variety or residential as well as commercial premises.

SOME KEY MOTIVES OF THE CRIME ARSON ARE SAID TO BE:

a)Economic gain
b)Personal Satisfaction
c)Sabotage
d)Pyromania
e)A diversity tactic to conceal the commission of other crimes

EVERY FIRE REGARDLESS OF SIZE SHOULD BE INVESTIGATED. THERE ARE NUMBERS OF

AUTHORITIES CHARGED WITH THAT DUTY, FOR EXAMPLE:
-The Fire Department
-Local Police
-Insurance Adjusters
-Private Organization
 BOMB THREATS
-Are becoming an increasing problem and bomb threat plans should be on writing and circulated to all
management personnel.
TELEPHONE OPERATOR
-plays a key role in handling bomb threat calls and they should be provided with a checklist which
should cover the following points:
1. Date and Time of Call
2. Caller Identity(If possible, or sex and wether adult or child)
3)Origin of call (Long distance, pay-phone, private residence, internal)
4)Exact message
5)Characteristics of voice( speech patterns, accent, grammar)
6)Background noises
OTHER INVESTIGATIVE STEPS TO BE CARRIED OUT AWAY FROM THE ACCIDENT SCENE ARE
1. Obtain medical reports
2.Complete interviews of driver and witnesses
3.Notify next of kin
4. Notify owners of vehicles (If different from drivers)
5. Reconstruct accident
6. Prepare investigative report
7.Inform interested agencies of conditions
SABOTAGE INVESTIGATIONS
- a definition of sabotage applied to industry cover any willful act designed to
hinder or obstruct the purposes for which a company operates. Sabotage does not
necessarily mean the use of bombs or incendiary devices.

SOME MOTIVATIONS FOR SABOTAGE ARE:

-Disgruntled employee
- Union problems
-Dissatisfied outside contractor
-Penetration by organized crime
-Foreign manipulation
-Rioting

NOTE: It is very difficult to identify and prove acts of sabotage. If sabotage is strongly suspected you should
contact the FBI, and other authorities and preserve evidence.

-The most common of sabotage is ARSON because it is effective and destroys evidence.
 THEFT
INVESTIGATION
AN EFFECTIVE LOSS CONTROL PROGRAM WILL DO MUCH TO PREVENT
INTERNAL THEFT, AND TO BE EFFECTIVE IT SHOULD INCLUDE:
1. Carefully designed safeguards and preventative aids.
2. Prompt reporting of missing items
3. Immediate action, to investigate with a view to apprehend culprits and
recover property.
4. Prosecution (a great factor in deterring others)
5. Remedial action ( to stop loop hole that allowed loss to take place)

SOME OF THE COMMON VULNERABLE AREAS ARE

a) Shipping and Receiving. Warehouses and other storage areas.
b)Stock rooms
c)Tool sheds
d)Fenced compounds
e)Car Parks
MEANS, OPPORTUNITY
AND DESIRE
OPPORTUNITY - Many experts feel that the reason a person steals is because the
opportunity was present.
THEFT TRIANGLE- Is “Means Opportunity Rationalization”
MOD - Means, Opportunity, and Desire
Means- includes Skills, Expertise , etc;
Desire- Includes Motive, need and mental problems like Kleptomania etc.

WHEN CONDUCTING THEFT INVESTIGATIONS THE FOLLOWING POINTS SHOULD

BE CONSIDERED:
1. A complete description of missing items (serial, model and other ID
numbers, distinct marks. Obtain all shippping documents and value)
2. Ownership data
3. Date loss noted
4. Who loss reported to
5. Area in which loss occured
6. If theft, note circumstances e.g. forced entry.
7. Extent of search
TRAFFIC ACCIDENT
INVESTIGATIONS

In the event of an accident the first action will consist

of the following emergency items:
1. Care of the injured
2. Fire and other hazards brought under control
3.Locate Drivers
4.Possible witnesses and helpers
5.Determine any existing traffic hazards
6. Locate and safeguard phhysical evidence

Photographs- Taken at scene are important to show position of vehicles at time of

accident, damage incurred angles of collision, marks on road, paths of vehicles before,
during and after the impact and overall condition of the scene as viewed by drivers.

RECONSTRUCTION OF AN ACCIDENT- only necessary where the cause cannot be

determined by available evidence.
 UNDERCOVER
INVESTIGATIONS
Undercover work
- has been past known as “ROPING”
-During these types of investigations, the investigator must be cautious
not to engage in activities that may violate the employees rights created
by NATIONAL LABOR RELATIONS LAW, particularly those pertaining to
collective bargaining activities.

INVESTIGATOR- Should also be wary of actions which could constitute

the basis of civil action for damages.
AGENT- must know the law regarding entrapment.

ENTRAPMENT- defined as the acts of Officers of the Government in

inducing a person to commit a crime not contemplated by them in order
to initiate criminal investigation. Entrapment is also accepted as a legal
To be succesful, an undercover operation
should have the ff. elements;
1. Qualified and resourceful operative, having initiative and
good judgement. Be willing to do the job, be self-confident
and patient.
2. A credible cover story (or background story of the agent).
It said to be the most important aspect of an undercover
operation.
3. A carefully thought out initial placement and extraction
technique. This is also regarded as an important factor.
The most important:
• Vocabulary
• Attitude
• Intelligence
Questioning- the most important tool during interviewing.
Informants- is a term that can be applied to any source of information which is not readily
available to the general public and is a very valuable resource to a private investigator.
MOTIVES FOR GIVING INFORMATION
A. Greed D. Revenge
B. Fear E. Patriotism
C. Hate F. Loyalty
Confidential Informant- is one who furnishes information on the expectations that their identity
will not be disclosed but there is no statute which requires this non-disclosure.
Methods of Contacting Informants: Carelessness when contacting informants is dangerous,
the work and lifestyle of investigators and informants may make personal meeting risky and
even necessary. Contact by telephone, fax or mail are good alternatives.
Proprietary Resources- it is generally accepted that the staff of a private proprietary
investigation unit should have acquired previous investigative experience before joining the
unit.
METHODS OF INVESTIGATION
1. Informants
2. Surveillance
3. Undercover operations
 COLLECTION OF EVIDENCE
EXAMPLE OF REAL OR HARD EVIDENCE
1. Fingerprints
2. Gun
3. Tire
4. Prints
5. Burglary
tools
*In crime scene searches, the first thing for investigators to do is to
prove any medical assistance that may be required and then to
protect the scene.
Primary types of crime scene searches
1. Strip search|double search
2. Zone
3. Wheel
Evidence- should be marked clearly and distinctively, ideally on the
item itself without obliterating anything and should include the date it
was secured and the location where found.
Examplar- is a document requested by the investigator which
duplicates the text of a questioned document and is known to be a
product of a particular person or machine.
Interview- is the questionning of a person who has or believed to
have information of official interest to the investigator; ( Victim,
Willing witness, Background)
3’Is of Investigation
Interview
Information
Instrumental
Interrogation- is the questioning of a person suspected of having
committed an offense or a person who is reluctant to make a full
disclosure of information, which they have and is relevant to an
investigation.
DECEPTION DETECTION TECHNIQUES (LIE DETECTION)
Devices to detect deception during interview fall into three
main types:
1. The Polygraph- sometimes referred to as a lie-detector. This test
records changes in blood pressure, breathing rate, pulse and skin
conductivity to electricity and these changes are assessed by the
examiner and therefore, the results are only as good as the skill of the
examiner.
2. Psychological Stress Evaluator- does not require any
connections to the subjects body, records and analyses stress related
components to the subjects being tested.
3. The Voice Analyzer- also deos not require attachment to the
body.

Control Questions- are used in polygraph examinations to

THE METHODS EMPLOYED ARE EITHER :
CARRIED OUT BY PEOPLE OR:

1. Physical Surveillance- By used of electronic equipment such as CCTV and other technical
equipment, often referred to as
2. Technical Surveillance
3. “Bugging” or wiretapping

SURVEILLANCE- Is covert(secret) observation of places, person, and vehicles for the purpose of
obtaining information concerning the identities or activities of subjects.

SURVEILLANT- The person carrying out surveillance.

SUBJECT- The person being watched.

NOTE: One of the most important rules when conducting physical surveillance is ‘not to look the
subject in the eye’.
RESULTS AND REPORTS OF INVESTIGATION
Report Writing- Use to short paragraphs and sentences, simple
words, be accurate, clear, ensure that confidential informants are not
identified and do not include suspicions or conclusions in the main
body of the report.
Reports- are more usually in a narrative style and when reporting
interviews include the name, address, and any other identifying
information of the interviewee.
*There is no specific format for the taking of notes during an investigation,
although, concise accurate and chronologically ordered notes assist in both report
writing and as an aide memoir giving evidence.

WRITTEN STATEMENTS USED IN RECORDING INVESTIGATIVE FACTS ARE

PRIMARILYN OF THE FF. TYPES;
• Affidavit
• Question/Answer Statement
• Un-sworn statement; and
 RECORD RETENTION AND
DISPOSAL

- A final consideration in investigative file maintenance is how

long the files should be maintained.
-Most law enforcement agencies establish a record retention
schedule that set specific distruction date for each class of
records
- Investigator in the private sector should establish a similar
process.
- A primary concern in setting the time limit should be any
statutes of limitation either civil or criminal, that applies to the
file.
-A destruction date should always be set after the statute of
 RECENT
DEVELOPMENTS:
DNA Profiling
1. The stability to identify a person through the DNA Profile or DNA
fingerprint
2. Samples of hair, blood and semen are tested in laboratories.
LASER LATENT PRINT DEVELOPMENTS
-The most positive means of identifying people is the finger
print. Laser Latent print developments allow fingerprints to be
extracted from objects (including skin)some considerable time
after they were left.
OFFENDER PROFILING
- Looking at the profile of the offender from the evidence of the
act. Can for example indicate whether the offender is organized
or disorganized.
TYPES OF STRIKE:
1)ECONOMIC STRIKE- Is the most frequent type, it takes
place when there is vote to stop work because the
satisfactory employment agreement has not been
negotiated.
-The strike action man be preceded by atleast 60 days
notice that the union desires to modified the existing
collective bargaining agreement.
-A strike without the 60 days notice would be unlawful.

2)UNFAIR LABOR PRACTICES STRIKE- Take place when

workers strike to force discontinuance of an alleged
violation by an employer of the labor laws.
QUIZ (INVESTIGATION)

1. ?
Ans.