Chapter 17
Investigations
Abstract
This chapter introduces the elements of an investigation, including gathering facts and evaluating them. They will learn that there are two parts to an investigation involving a preliminary and follow-up investigation. A security officer must take copious notes and interview the people who are connected to the investigation. This chapter contains information regarding evidence in terms of its definition and detailed discussion covering the topic. Students will learn about the three types of evidence: direct, real and circumstantial. Finally, the reader will gain understanding of how to preserve physical evidence and accurately identify evidence.
Keywords
4th amendment; Evidence; Interview; Terry v. OhioConducting a security investigation is a primary function of any security organization. Most security officers and supervisors will be called upon to conduct preliminary investigations due to a theft, injury, or other type of incident. Most of these investigations will be of a noncriminal nature but are nevertheless important because they may result in civil litigation.
Types of security investigations
In any type of investigation, there are usually two phases: the preliminary phase, in which witnesses are interviewed, evidence is collected, and the crime scene is protected and processed; and the second phase, involving more experienced officers who further investigate and (when necessary) refer the case to the district attorney for prosecution. Most security officers will be involved with preliminary investigations. O.W. Wilson (1963) [2] described the preliminary investigation as follows:
Proceed to the scene with safety and speed.
Render assistance to the injured.
Effect arrest of the perpetrator.
Locate and identify witnesses.
Interview complainant and witnesses.
Maintain scene and protect evidence.
Interrogate suspects.
Note all conditions, events, and remarks.
Arrange for collection of evidence.
Report incident fully and accurately.
Yield responsibility to investigators.
Care should be given in minimizing destruction of evidence when treating victims. A second step at the scene is to gain control of the situation so that further injury to victims is minimized. This may require an officer requesting assistance from other security personnel and, possibly, from public emergency services (i.e., police, fire, rescue) [1].
Proceed to the scene
• Get there as fast as possible.
• Get there safely. Do not violate laws or become reckless.
• Think as you are in route:
• What might you come into contact with?
• Rely upon past experiences to help you. Have you had similar incidents? In some cases, it may be a situation involving the same people or equipment.
• Begin to make mental notes:
• Will you have to call for outside emergency services?
• Will there be someone else at the scene who will assume responsibility or will you be the person in charge?
Render assistance to the injured
Once at the scene, attempt to quickly analyze the situation and prioritize what must be done:
1. Provide first aid to the injured or remove a person(s) from harm’s way (i.e., fire).
2. Identify the need for additional assistance, radio for additional help, and if necessary call for police and fire units to respond.
3. Attempt to stabilize the situation by treating the injured, calling for assistance, and providing general direction.
Effect arrest or perpetrator
If a criminal offense has occurred resulting in a serious injury due to a vehicular accident or assault, attempt to keep all parties at the scene. If you are not certain of the facts, be cautious about arresting or even detaining individuals. It is possible that the perpetrator(s) of the crime may still be on the premises. If possible, without endangering your safety or the safety of others, the perpetrator should be advised to remain at the scene but segregated from any victim(s). If someone is seen leaving the scene, attempt to obtain the license number of any vehicle. At the very least, be certain to obtain a physical description of the perpetrator(s). Provided assistance has been called and victims are given emergency treatment, security officers should refrain from endangering themselves in the pursuit of the perpetrator(s). Be extremely cautious in pursuing individuals off the grounds of your facility. You must remember what legal authority and power you possess. Additionally, your organization may not want you to pursue possible suspects. Instead, you may only be required to provide the police with a physical description of the alleged suspects.
In the event, a perpetrator remains at the scene and is following your instructions, a pat-down or search for possible weapons is permitted and is recommended to ensure the protection of the officers and others remaining in the area. This is also referred to as “stop and frisk.”
Terry v. Ohio
In 1968, the U.S. Supreme Court held that the controversial “stop and frisk” procedure used by law enforcement personnel is constitutionally justifiable whenever a reasonable man in the position of the police officer would believe that stopping and frisking a person was essential to the preservation of his or her own safety or that of others. The Court was unwilling to extend its ruling to include frisking for the purpose of obtaining evidence or frustrating the destruction of it. Under Terry, a police officer can properly do only that which is minimally necessary to make certain whether the suspect has a weapon and to relieve them of it.
Security officers do not fall under the restrictions or the protections afforded law enforcement personnel. Security personnel are permitted to protect themselves and others and are permitted under law, to be certain a person does not have a weapon in their possession. However, the actions of the security officer must be considered reasonable. All policies and regulations should be reviewed with your employer.
Locate and identify witnesses
Upon arrival at the scene and once you have determined who requires first aid, attempt to identify anyone and everyone who may have knowledge of what occurred. Ask witnesses to remain in the area until you have had a chance to talk to them. It is critical in this situation that you have a notebook and pen at your disposal. Attempt to interview those people who were actually involved, whether they are the alleged victims or perpetrators.
Interview complainant and witnesses
As mentioned, if a person requested your presence at the scene, this should be the first person you speak to after you have arrived on the scene. Naturally, if persons are injured or their safety is in danger, you must wait to interview the complainant.
Many security officers are not proficient in interviewing persons simply because they have not had much experience in this area. It is essential at this time that the security officer maintain his or her composure and demonstrate a cool and calm demeanor. Security officers who demonstrate coolness under pressure instill confidence with witnesses.
The best place to start the interview process is at the beginning by obtaining the following information:
• Date and time of incident
• Date and time of report
• Name of person
• Address of person
• Phone number
• Social Security number
An effective opening statement without directing or prejudicing the witnesses is to say, “Tell me what happened.” Often, other witnesses present will interpret and interject their own opinions of what happened. If possible, walk away from the other witnesses in order that the main witness can talk without interruption. If this is not possible, you may have to ask the other witnesses to please be quiet until you have an opportunity to talk with each of them. If the witness is upset or extremely excited, you may have to continue to prompt them with additional questions such as, “What happened next? Then what?” or “What did the person do or say then?” This type of interview may continue for several minutes.
After the main witness or complainant has been interviewed, other witnesses must be interviewed until everyone has been spoken to concerning the incident. In many situations, because of time constraints and/or the number of witnesses involved, more than one security officer will be required to conduct the interviews. It therefore becomes critical that each officer explore the interviews in similar fashion to be certain as many facts as possible are gathered. Remember, you are on a fact-finding mission. Obtain as much information as possible. Normally, it is at this time when witnesses will be the most cooperative and truthful.
Maintain scene and protect evidence
When dealing with incidents that may be criminal in nature, it is extremely important to attempt to gather as much evidence as possible. Evidence is of three types: direct, real, and circumstantial. Direct evidence is that which proves what actually occurred. Direct evidence can be provided by the testimony of witnesses of their own personal knowledge derived from one of these senses: sight, smell, taste, hearing, and touch. Real evidence consists of physical objects—wounds, weapons, photographs, maps, etc. Real evidence speaks for itself. Circumstantial evidence arises from direct evidence or a combination of real and direct. Generally, circumstantial evidence consists of information that is logically drawn from facts, such as fingerprints.
The job of the security officer in collecting this evidence may be extremely difficult. Evidence that may be essential in a criminal investigation, such as fingerprints, footprints, tire marks, or torn clothing, may be altered or destroyed unintentionally, especially if first aid must be rendered to victims. As security officers become more proficient in responding to crime scenes, valuable evidence can be preserved prior to the arrival of the police.
Assuming that no one’s safety is still endangered, as quickly as possible, a security officer must attempt to block off the area from sightseers and people who are just simply curious, both pedestrian and vehicular. Three-inch-wide yellow-and-black tape provides a good resource in notifying sightseers to refrain from crossing into the crime scene area. A security officer may need to improvise if the proper equipment is not available. Flares, reflectors, signs, trash barrels, and even vehicles can be used as barriers. If the crime scene includes an entrance or exit point to a facility, this area will also need to be blocked off, preferably by a stationed security officer instructing employees or visitors to access the facility from another entrance.
Inclement weather may also destroy valuable evidence, such as tire skids or marks, tire imprints, fingerprints or footprints, blood or other bodily fluids, paper evidence that could be ruined by rain or snow, etc. Plastic tarps can be used to gently lay over the evidence scene. If possible, photographs should be taken. Notations such as lighting, date, and time should be noted to provide points of reference. If evidence is in danger of being destroyed because of fire or other contamination, a security officer must make a decision to remove the evidence from the hazardous area or simply risk the destruction of this evidence. Careful attention should be given to not disturb any possible evidence with exposed hands or fingers.
Often, the main responsibility of a security officer will be to maintain the integrity of the crime scene until the police arrive.
Security officers who work for banks, museums, hospitals, and/or colleges will usually be more familiar with crime scenes due to the nature of their jobs as opposed to security officers who work in manufacturing or office facilities. In addition, officers in manufacturing and office settings may not have frequent contact with the public.
Interrogate suspects
As stated previously, because security officers will most often be involved in the preliminary phase of the investigation, they are unlikely to be involved in the actual interrogation of subjects. This is best left to those trained for this specific task.
A situation may arise that provides the security officer with an opportunity to ask a suspect a question such as, “Bill, why did you hit Ed?” A security officer may be fortunate and receive an admission from the suspect. In general, interrogations are conducted only after an extensive investigation has revealed as many facts as possible regarding the incident.
Note all conditions, events, and remarks
Sometimes during an emergency, which requires a security officer to render first aid or assist in other emergency procedures, actual notetaking may not be possible. However, as soon as possible after an incident, the security officer must reconstruct the order of events. If little or no notes were taken, before writing an incident report, the security officer should make notes of all relevant conditions, starting with when he or she was first notified of the incident.
The following items may be of critical importance when documenting the incident:
• Date
• Time
• Location
• Weather conditions
• Witnesses
• Complainant
• Physical descriptions
• Clothing
• Odor or smells
• Statements made by a victim, witness, or suspect
The essential parts of any report are the facts. Names, descriptions of individuals, vehicles, buildings, surroundings, correct dates, and times are critical when attempting to reconstruct on paper what actually took place.
Often, a report is written several minutes or several hours after an event has occurred. People who can provide answers may no longer be available for questioning.
Every security officer or supervisor should always carry a pen and small pocket notebook in order to document key facts as they occur. Names, titles, and even descriptions can often be quickly noted even during an emergency. This information can prove to be critical months later.
The following are some helpful hints to remember when you are reconstructing the incident from your notes in preparation for writing your report:
1. Write what happened in chronological order (i.e., what happened first, then what happened next, and next, etc.).
2. Be sure to include all names, positions, titles, and departments of all employees.
3. Include names, addresses, and, if possible, Social Security numbers of all nonemployees who were either witnesses or were involved.
4. Explain in plain, simple English what happened. If you mention a building by its name or number, give its location as well. Remember, many people who read this report are not as familiar with directions and location as you are.
5. When you begin to write your report, constantly refer to your notes. Do not include your opinion or comments and do not editorialize. You can give your opinion or comments about the incident in person to your superior.
6. Do not discard your notes. Keep them until your superior advises you to discard them.
7. Write your report before you leave work. Leaving the job before your report is written gives a bad impression of your security department.
Arrange for collection of evidence
In any type of incident where an accident has occurred or when a crime has happened, evidence exists. Sometimes, evidence is obvious and apparent and easy to collect. Other times, however, evidence is difficult to see and may be difficult to collect. Imagine a theft from any office area. Evidence could include the following:
• Fingerprints
• Footprints
• Broken glass
• Scratches or dents
• Forgotten burglary tools
• Torn clothing
Evidence from a car accident may include:
• Skid marks
• Broken glass
• Damaged vehicles
• Empty liquor containers
Assuming that all injured parties have been cared for, the security officer must (as discussed earlier) protect all evidence and maintain the integrity of the (crime) scene. Usually, this will entail an officer cordoning or blocking off the area from all bystanders. If evidence may be lost or damaged due to the weather or something else, the security officer should collect the evidence. Care must be used when gathering evidence. Putting additional fingerprints or footprints onto evidence will only serve to delay or impair the investigation. Evidence preservation kits including plastic bags are convenient ways for even novice security officer to succeed in the gathering of evidence that may be destroyed if not immediately recovered. This evidence must be carefully sealed with the description, date and time, and name of the person recovering the material. Evidence must be properly stored and secured for safekeeping.
It is important to remember that evidence may be needed for some future action, whether it be legal, such as in a criminal or civil court proceeding, or administrative, such as an in-house administrative hearing. It is essential that a chain of custody is established and maintained. The officer who preserves the scene is the first custodian of the evidence. In a hearing or trial, this officer may be asked to testify to the condition of the crime scene when he or she arrived and when he or she turned the evidence over to the investigator. The person who gathers the evidence is responsible for tagging, bagging, and turning it over to someone else for examination or custody, or until the evidence needs to be used again and presented as part of a case. Remember, as a security officer, if you are not gathering evidence, then do not handle it. It is much easier to go into court and say that you preserved the crime scene for investigating officers than it is to say that you handled evidence you should not have, especially if your handling contaminated the evidence. Many police officers have had their fingerprints turn up on a piece of evidence, such as weapon, because they did not handle it properly.
If you are required to gather and save evidence, then you will want to follow these basic rules:
• Gather the evidence carefully, so as not to damage or destroy it or its properties.
• Remember, anything you pick up may contain trace evidence not visible or identifiable to the naked eye. Materials may contain hair or carpet fibers. There may be evidence from clothing or fragments of glass, wood, or metal materials that may later be deemed important. Properly label all evidence by attaching a tag or labeling the storage container with a description of the item, date, time, location where it was discovered, and a description of the relevant event and your signature.
• Store the evidence in a secure location or turn it over to a proper custodian for further disposition.
Even if the case never goes to court, improper handling of evidence may render it useless in determining who is responsible for an incident or how it occurred.
Objections to introduction of evidence
On many occasions, a defendant in a criminal case will attempt to have evidence dismissed on the grounds that it was obtained illegally. Usually, a defense attorney objects on the grounds that if the defendant provided consent for a search of their personal property, the consent was not voluntarily given. Also, the objection made may be that insufficient probable cause existed for the defendant to be arrested; therefore, any evidence obtained would be considered tainted.
Exclusionary rule
The Exclusionary Rule did not come into existence for many states until 1961. The rule is a very simple one. It merely provides that evidence, which has been illegally obtained, will be excluded from use in a judicial court.
The United States Supreme Court decision of Weeks v. United States (232 U.S. 383) was decided in 1914. This decision placed in operation an exclusionary rule applicable to federal officers. The Court held that evidence that was illegally seized was in violation of the Fourth Amendment to the Constitution, and therefore was not admissible in federal court. This amendment provides the following:
This amendment was originally designed to control the conduct of federal officers, and the states were free to make their own rules on searches and seizure, as well as the admissibility of evidence.
Search and seizure
Search and seizure are generally thought of in connection with obtaining physical evidence. There is a tendency to use the term search and seizure as if they were one act. Legally and technically, this is not the case. It is possible to make a search and not a seizure, or there may be a seizure without a search.
A search has been described as looking, or prying, into hidden places in an effort to locate some object, which has been intentionally concealed or put out of sight. The mere observation of what is in open and full view is not considered to be a search. It has been held that the use of a flashlight to light up an area, which would otherwise be in view during the daytime, is not considered to be a search.
A seizure has been defined as forcibly taking an object. There may be a seizure of property from a person even though the one from whom it was taken did not own the property. Even if the property is stolen, it may not be admitted in evidence against a suspect unless the property is seized by a police officer whose actions are considered reasonable and lawful.
Fourth amendment
The Fourth amendment protects citizens from unreasonable searches and seizure. The protection given by the Fourth amendment against unreasonable searches and seizures does not pertain to private citizens. That is why security officers can conduct package inspections of employees and their belongings as people enter and exit a facility. In almost every instance, inspections of vehicles, persons, and their property can be made by a security officer. Some companies may have entered into agreements with their employees or employees’ union that specify if and how inspections and/or searches are to be conducted. Therefore, inspections may be restricted because of company policy.
Evidence tampering and removal
In the event a security officer arrives at the scene of an incident and retrieves anything that may be of material witness as to what occurred, this information must be protected. This information could consist of papers or documents left behind after a burglary or theft from an office. Potential evidence could also be a computer disk or other media, briefcase, computer, keys, clothing, shoes, purse, billfold or other personal effects belonging either to the victim or perpetrator. This information or potential evidence must be protected from the elements, and the officer must be able to sustain credibility at the time of a trial that the evidence has a connection to the incident. Further, the officer must be able to identify the evidence at the time of the court trial is in fact the same identical information found at the scene. The officer must be able to show that the object(s) has not been tampered with or altered in any way that may exclude it from being admitted as evidence. The manner in which an officer handles and collects any objects that may be evidence is vital to the criminal or civil trial that may ensue.
To intentionally alter, tamper with, or destroy evidence is a punishable crime that may result in prison time. In addition, a security officer may be sued in civil court for inflicting pain and suffering upon an alleged victim.
Report incident fully and accurately
In the manual Effective Report Writing for the Security Officer, specific outlines are presented that assist the security officer in obtaining all the facts necessary to write a clear and accurate report.
Common mistakes made by security officers when writing reports include poor grammar, misspellings, poor penmanship, inaccurate statements and in general, and offering opinions or commentary when it is not appropriate. A favorite saying used by many security directors is a quote from Dragnet detective, Joe Friday—“Just the facts, ma’am!” Far too often, personal opinions are interjected into a report when it is totally inappropriate.
Yield responsibility to investigators
As mentioned previously, most investigations conducted by security officer are of the preliminary variety. Once an investigator has arrived at the scene, the security officer should relinquish control of the investigation. A word of caution: Some security directors may prefer to retain some control over an investigation prior to relinquishing authority to a law enforcement detective. If an actual crime has occurred, the security officer may have no choice but to yield to a detective.
Summary
• A security investigation is the primary function of any security organization. An investigation involves the gathering of facts and the evaluation of them to determine a given purpose. There are two phases of any investigation: the preliminary investigation and the follow-up investigation.
• The most important consideration of any preliminary investigation is to proceed to the scene as quickly as possible.
• When you are at the scene, the security officer should locate and identify witnesses, interview the complainant and witnesses and make as many mental notes as possible.
• One of the most difficult aspects of conducting a preliminary investigation is in maintaining the scene and protecting the evidence. The security officer should cordon off the area from sightseers and people who are just curious.
• Most security officers are involved in investigations, not interrogations. The investigation is not accusatory, whereas the interrogations is accusatory.
• The security officer should attempt to note everything, including time, date, descriptions, and names.
• After the interviews, the officer should review, arrange and organize the evidence and information. All evidence should be sealed and stored safely.
• The last and very important task of the officer is to report the incident fully and accurately.
Exercises
Fill in the blanks
1. An investigator involves the _______________ of facts and the _______________ of them to determine a given purpose.
2. The first phase of an investigation is referred to as the _______________ investigation.
3. The second phase may be referred to as the _______________investigation.
4. Care should be given in minimizing destruction of _______________.
5. An officer should always take written notes and begin to make _______________ notes.
6. One of the most difficult aspects of conducting a preliminary investigation is in maintaining the _______________ and protecting the _______________.
7. Nonaccusatory conversations are called _______________.
8. One-sided discussions where the suspect is under suspicion are called _______________.
You have been dispatched to the scene of a preliminary investigation. In what order would you complete the following?
_____Arrange for collection of evidence
_____Interview witnesses
_____Interrogate suspects
_____Report incident fully and accurately
_____Effect arrest of perpetrator
_____Yield responsibility to investigators
_____Locate and identify witnesses
_____Render assistance to injured
_____Maintain scene and protect evidence
_____Note all conditions, events, remarks, etc.
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