Investigations (10%) Flashcards
Which of the following is not a legitimate purpose of an investigation for employee misconduct.
A) To determine whether company rules have been violated.
B) To ascertain whether company policies have been violated.
C) To catalog information about employees that might be derogatory for future use.
D) To determine of state laws have been violated.
E) to determine if federal laws have been violated.
C) To catalog information about employees that might be derogatory for future use
The investigation’s best approach to questioning relies on the following:
A) Most suspects will lie or circumvent the truth
B) a subject is innocent until proven guilty
C) a key suspect is guilty, and evidence must be found
D) a signed statement in the form of a confession must be obtained.
E) None of the above
B) a subject is innocent until proven guilty
Some facts about drug users that may assist in recognizing problem areas during a drug investigation are set forth as follows. Indicate the one that is erroneous. A) The only common characteristic is that drug abusers use drugs to a point where they feel they can no longer manage with its support. B) the adult abuser of drugs commonly has a history of social maladjustment C) Drug abuse is concentrated in but no confined to “slum areas” of large cities D) Those who can afford to by drugs without resorting to crime are less likely to be arrested for drug violations. E) Chronic abuse of drugs is generally not considered a symptom of mental or emotional illness.
E) Chronic abuse of drugs is generally not considered a symptom of mental or emotional illness.
A craving for a drug is exhibited often by the following: A) Water running from nose or eyes B) Frequent yawning or sneezing C) continual itching of arms and legs D) All of the above E) None of the above
D) All of the above
a narcotic addict is sometimes called: A) A bingo B) A geezer C) A hophead D) A pop E) A bagman
C) A hophead
One whose sexual desires are directed to both men and women is known as a: A) Lesbian B) Bisexual C) Homosexual D) Transvestite E) None of the above
B) Bisexual
When it is necessary to question a witness about sexual deviation, all of the following should be avoided except: A) Using street language B) Giving the impression of being avid to develop the facts C) Leaving the impression that you suspect the subject of being a sex deviate D) Allowing the witness to frame the testimony in his or her own words E) None of the above
D) Allowing the witness to frame the testimony in his or her own words
In conducting gambling investigations, the security officer should: A) Cooperate with local, county, state, or federal law enforcement B) Not use undercover operatives C) Wiretap the employees home phone D) Search the lockers of all suspects E) None of the above
A) Cooperate with local, county, state, or federal law enforcement
Which of the following investigative resources should not normally be used in gambling investigations conducted by a proprietary investigative force? A) Closed circuit TV Cameras B) Undercover operatives C) Telephone surveillance D) Florescent Powder E) Physical surveillance
C) Telephone surveillance
In an investigation concerning the regulations of common carriers in interstate commerce or an investigation of railroad accidents, a good source of information would be?
Interstate Commerce Commission
When investigating a homicide or suicide, the best source of information would probably be?
The county coroner’s office
To obtain information concerning marriage licenses, an investigator would contact the?
The Bureau of Vital Statistics
In conducting a “claim” investigation where the claim is a serious one and where this is cause for doubt in connection with the loss or claim, the type of investigation to be used is?
Personal contact
One of the following is NOT one of the desired characteristics of a statement obtained during a claim investigation: A) It should be written in ink or indelible pencil, or typed B) It must be dated C) It should be in a short paragraphs with two spaces between each paragraph D) It may be signed or unsigned E) It must contain the identification of the person making it.
C) It should be in a short paragraphs with two spaces between each paragraph
A sudden, violent, and noisy eruption, outburst or discharge by a material acted upon with forces, such as fire, shock, or electrical charge, which causes the material, either solid or liquid, to convert into gas and violently expand or burst is the definition of what: A) A flash fire B) An explosion C) A detonation D) All of the above E) None of the above
D) All of the above
A yellow-colored crystalline solid pertains to the following explosive: A) TNT B) Dynamite C) Nitroglycerin D) Nitro starch E) Picric acid
E) Picric acid
Which of the following is NOT a high explosive: A) Nitrocellulose B) Nitroglycerin C) Dynamite D) Nitro starch E) Picric acid
A) Nitrocellulose
Which of the following could be considered a source of information? A) A record B) a custodian of record C) A public official D) All of the above E) None of the above
D) All of the above
One of the following is NOT considered an element of the common-law of arson A) Commercial building B) Maliciousness C) Burning D) Willfulness E) Of another
A) Commercial building
Which of the following is NOT usually applicable to a confession? A) it was voluntary B) It was made subsequent to commission of a wrongful act C) It is often applied to civil transactions D) It gives no inference other than guilt E) it is an admission of guilt
C) It is often applied to civil transactions
Which of the following is NOT a requirement for a successful undercover investigation: A) A qualified investigator B) A plausible cover story C) An effective control scheme D) Developing necessary evidence for prosecution E) A reliable method to discontinue or even suddenly abort the investigation
D) Developing necessary evidence for prosecution
If it is necessary to terminate an undercover investigation, one of the following actions should NOT be done: A) Withdraw the agent safely B) Withdraw the agent immediately C) Salvage as much of the resultant data as possible D) Prepare explanations for those who demand then E) Reveal the agent’s identity
E) Reveal the agent’s identity
The principal item of expense in an investigations budge will be what?
Personnel costs
What is the single most important administrative control in handling an investigation?
Indexing
The frequency of a re-investigation of the “financial lifestyle” inquiry should be how long?
Every 18 months
In conducting interviews during an investigation concerning “financial lifestyle,” the investigator should more appropriately tell the person being interviewed that the employee is: A) Being considered for a position B) Suspected of wrongdoing C) Being interviewed for in connection with a position of trust D) Being considered for a promotion E) None of the above: Tell the interviewee nothing
C) Being interviewed for in connection with a position of trust
One of the following is not prohibited by the Federal Civil Rights Act during an investigation: A) Asking questions about prior arrests B) Asking questions about prior convictions C) Directing inquire into areas of race or color for discriminatory purposes D) Directing inquiry into areas of religion or sex for discriminatory purposes E) None of the above
B) Asking questions about prior convictions
Age discrimination in the Employment Act of 1967 bans discrimination against workers or applicants who are between what ages?
At least 40 but less than 65
Questions on an application left blank or field investigative inquires that deal with a union membership or affiliation should be avoided as they may lead to charges that constitute violations of what act?
The National Labor Relations Act
As a general rule, the number of consecutive years of employment or non employment to be verified preceding the date of the investigation is?
7 years
Any investigation containing unfavorable information should be retained in file for a period of no less than how many years?
3 Years
a question on an application from inquiring about prior arrests is illegal as it is a violation of what act?
The Civil Rights Act
The rule that states approximately 1 in 10 applications will have major omissions, which require going back to the applicant, is called? A) The Rule of Ten B) The Rule of Nine C) The 1-10 Rule D) The Verification Rule E0 Sullivan’s Rule
A) The Rule of Ten
Who should be interviewed last or near the end of an investigation under usual circumstances.
Those likely to be hostile
If the interviewee during an investigation is hostile, it is preferable to conduct the interview where?
At the security office
Which of the following characterizations regarding investigative surveillance is NOT true: A) It is expensive B) It is time consuming C) It is often nonproductive D) It is illegal in most jurisdictions E) IT can be fixed or mobile
D) It is illegal in most jurisdictions
The process whereby communications are intercepted or recorded is known as what?
Technical Surveillance
Situations in which at least one party to a communication is aware and willing that the recording of his or her conversation with another person or persons is being made are: A) A violation of the Omnibus Crime Control Act B) A violation of the Federal Communications Act C) Not a violation D) Allowed by the Federal Anti-Racketeering Statute E) Allowed by 18 USC 2511
C) Not a violation
The specific emplacement of an agent or operative in an environment or situation in which the agent’s true role is unknown with the purpose of developing information to be used later in a criminal investigation is know as what?
Undercover investigation
It is becoming increasingly more difficult to do a good preemployeement background investigation because of: A) The expense B) The lack of skilled investigators C) Various rulings and court decisions that inhibit the use of techniques or instruments available D) The uncooperative attitudes of persons interviewed E) Such investigations being illegal in a number of states
C) Various rulings and court decisions that inhibit the use of techniques or instruments available
Which of the following is an advantage of having investigations conducted by in house security staff? A) It is cheaper as a general rule, depending on the number of checks being done B) In-house staff is better trained C) In-house staff has a better grasps as the objective of the investigation D) In-house staff has better sources of information E) None of the above
C) In-house staff has a better grasps as the objective of the investigation
The most widely recognized and best-known instrument designed to detect deception is known as what?
Polygraph
The most important factor in the use of a polygraph is?
The examiner
Which of the following is NOT a good procedure with regard to the use of the polygraph by investigators? A) Pointing out its effectiveness B) Describing it as infallible C) Withholding detailed information from the examinee D) Telling the examinee how experienced the examiner is E) Working with the examiner as a team member
B) Describing it as infallible
The US Army trains its polygraph operators as well as those from other US agencies at what location
Fort Gordon, Georgia
A device that is used to detect deception through stress recorded by voice modulations is know as what?
Psychological Stress Analyzer
Which of following characteristics relate to the psychological stress analyzer. A) No physical connection with the body is required B) The subject is not required to answer in a terse yes-or-no format C) It can be used covertly D) All of the above E) Non of the above
D) All of the above
The effectiveness of the voice analyzer in accurately detecting deception is? A) 100% B) 96% C) 94% D) 85% E) Not determined
E) Not determined
Identify the act that basically prohibits discrimination, discharge, failure or refusal to hire, etc. on any of the grounds of race, color, religion, sec, or national origin: A) The Fair Credit Reporting Act B) The Civil Rights Act of 1964 C) The First Amendment D) The omnibus Crime Control Act E) None of the above
B) The Civil Rights Act of 1964
Under court interpretations of the Civil Rights Act of 1964, which of the following are NOT allowed during investigations: A) Questions regarding prior arrests B) Questions regarding convictions C) Questions regarding age D) Questions regarding residence E) Questions regarding prior employment
A) Questions regarding prior arrests
Interviews should be conducted: A) In the company of the suspect’s attorney B) In an area where distractions are minimal C) In a comfortable room that is well furnished, like a home D) In an area where the light is focused on the suspects face E) None of the above
B) In an area where distractions are minimal
The witness’s idea of the suspect, described in words, is called what?
Portrait parle
The most important qualification of a good undercover operative is what?
Resourcefulness
The main function of the private security agent is to: A) Locate stolen goods B) Ascertain and report illegal activities C) Receive well-rounded investigative experience D) Ascertain the state of moral E) None of the above
B) Ascertain and report illegal activities
The person best suited for physical surveillance work is one who: A) Is tall enough to see over crowds B) Will blend into the area C) Has a college education D) Has a police background E) None of the above
B) Will blend into the area
In conducting a polygraph, it is important to note the most important measure of stress recorded by: A) Breathing B) Galvanic skin response C) Heartbeats D) Perspiration E) None of the above
C) Heartbeats
The pretesting interview prior to the polygraph examinations itself is used for the purpose of: A) Helping the subject relax B) Helping the examiner to get to know the subject C) Helping the examiner to judge the subjects character D) All of the above E) None of the above
D) All of the above
On average, a polygraph examination takes how long?
1 hour
Which of the following statements is NOT correct regarding the polygraph: A) The polygraph is not a lie detector B) the polygraph does not automatically register truth or falsehood C) A polygraph test is conclusive D) Historically, polygraphs have more often been used to establish innocence rather than to prove guilt E) None of the above
C) A polygraph test is conclusive
Person are protected from abuse of polygraphs by: A) The courts through civil lawsuits B) State labor departments C) The National Labor Relations Board D) All of the above E) None of the above
D) All of the above
The best way to verify an applicant’s statement is: A) By judicious use of telephone B) By personal visit with the applicant C) By mail D) All of the above E) None of the above
E) None of the above
Which of the following should NOT be included in a written investigative report of an applicant: A) Derogatory information B) Confidential sources of information C) Results of a lie detector examination D) Arrest records E) None of the above
B) Confidential sources of information
Of all those with mental disorders, the most dangerous subject to handle is: A) One suffering hysteria B) A paranoid psychotic C) A neurotic D) One suffering phobia E) Schizophrenic
B) A paranoid psychotic
Mental disorders may be determined by symptoms. Which of the following is such a symptom: A) Sudden changes in behavior B) Behavior that is not harmonious with a situation C) Unduly prolonged depression D) All of the above E) None of the above
D) All of the above
In handling a mentally disturbed person, one should: A) Take a strong position as the boss B) Assume a calm friendly position C) Leave the impression he or she has control of the situation D) All of the above E) None of the above
B) Assume a calm friendly position
Which of the following is true in handling persons with mental disorders? A) Don’t deceive them B) Don’t become involved in their personal problems C) Where physical restrain is required, use two officers D) All of the above E) None of the above
D) All of the above
There are several stages in an investigative process. Which of the following is not considered a stage? A) Whether to investigate B) Legal evaluation C) Gathering information D) Managerial decision making
B) Legal evaluation
Which of the following is NOT a requirement for a successful undercover investigation: A) A qualified investigator B) A plausible cover story C) An effective control scheme D) A reliable method to discontinue or even suddenly abort the investigation E) Developing necessary evidence for prosecution
E) Developing necessary evidence for persecution
The principal item of expense in an investigations budget will be what?
Personnel Cost
The single most important administrative control in handling investigations is what?
Indexing
As a general rule, the number of consecutive years of employment and non-employment that should be verified is what?
7 Years
Any investigation containing unfavorable information should be retained in a file for a period not less than how many years”
3 Years
The rule that states approximate 1 in 10 applications will have major omissions, which will require going back to the applicant is called what?
The rule of ten
Who should be interviewed last or near the end of an investigation under usual circumstances?
Those likely to be hostile
If an interviewee during investigations is hostile, where should the interview take place?
At the security office
Which of the following characterization regarding investigative surveillance is not true? A) It is expensive B) It is time consuming C) It is often nonproductive D) It is illegal in most jurisdictions
D) It is illegal in most jurisdictions
The process whereby communications are intercepted or recorded is known as what?
Technical surveillance
It is becoming increasingly more difficult to do a good preemployement background investigation because of what?
Various laws and court decisions that inhibit the use of techniques and/or instruments available
An undercover operator should what type of person
Unknown by anyone likely to be in the target population
One of the objectives of an undercover investigation is not to: A) Establish a method of diversion of goods B) Ascertain the level of organized labor activity in the work force C) Provide information on personnel action D) Obtain evidence of past or future crime
B) Ascertain the level of organized labor activity in the work force
In an incident investigation, the general rule is to first interview person who: A) Are not likely to be available for later interview B) Are likely to be hostile C) Have the most extensive information about the incident D) Are familiar with some part of the subject matter
A) Are not likely to be available for later interview
Which of the following is not true regarding communications with an undercover agent: A) Normal contact is initiated by the agent B) The contact telephone should be answered with the name of the company C) An alternate contact telephone number should be established D) The telephones should be reserved exclusively for investigations
B) The contact telephone should be answered with the name of the company
The basic rules of collecting, preserving and maintaining evidence: A) Must be done by many untrained people B) Must be done in a quick manner C) Must follow the chain of custody to be used in court D) Must not be documented properly E) None of the above
C) Must follow the chain of custody to be used in court
Which of the following is NOT a kind of evidence: A) Physical evidence B) Scientific evidence C) Circumstantial evidence D) Testimonial evidence E) All of the above
E) All of the above
Hearsay evidence is what kind of evidence?
Information revealed to the witness by another person
A pen register is: A) A devices that records all numbers dialed on a telephone B) Used to keep track of these entering an event C) Signatures of those registering for an event D) A surveillance technique using a pen camera E) None of the above
A) A devices that records all numbers dialed on a telephone
Which of the following are types of surveillance that can be used in an investigation: A) Fixed surveillance B) Proprietary surveillance C) Moving surveillance D) Relaxed surveillance E) Answers a and c
E) Answers a and c
What are some common ways applicants falsify applications? A) Incomplete applications B) Willful omission of facts or job references C) Misrepresentation of job history or education D) References are non existent E) All of the above
E) All of the above
Which act prohibits discrimination in hiring, firing, promoting, or giving raises or others benefits because of an employees race religion, sex, or national origin? A) Fair Credit Reporting Act B) Age Discriminating is Employment Act - 1967 C) Civil Rights Act - 1964 D) Americans with Disabilities Act (ADA) E) National Labor Relations Act (NLRA)
C) Civil Rights Act - 1964
An explosion is defined as: A) An item that can cause fire damage B) A sudden, violent, and noisy eruption, outburst or discharge by a material acted upon with forces, such as fire, shock, or electrical charge, which causes the material, either solid or liquid, to convert into gas and violently expand or burst C) Any chemical compound, mixture, or device that functions by explosion to release instantaneous gas and heat D) Objects that produce significant sound waves E) Materials that can cause injury to others
B) A sudden, violent, and noisy eruption, outburst or discharge by a material acted upon with forces, such as fire, shock, or electrical charge, which causes the material, either solid or liquid, to convert into gas and violently expand or burst
Which of the following are exceptions to the Omnibus Crime Control and Safe Street Act of 1968 (Title III): A) Wiretapping takes place in a one-party consent state B) The wiretap is obtained with a court order called an ex parte order C) It is necessary for emergency cases involving national security D) Answers a and b E) All of the above
D) Answers a and b
Embezzlement is defined as?
The misappropriation of money and wrongful conversion of merchandise.
Bombs are defined as?
Any chemical compound, mixture, or device that functions by explosion to release instantaneous gas or heat.
What are the five qualities of and effective investigation?
The investigations must be objective, through, relevant, accurate, and current.
What are the three “I’s” of an investigator?
Information, interrogation, and instrumentation
What is an Investigation?
A systematic & thorough examination or inquiry into something or someone (the collection of facts & information) and the recording of that examination in a report)
What is a fact-finding process, ideally separated from the decision-making process?
Workplace Investigation
Facts of an effective workplace investigation
- Must be fair & impartial
- Must be factual & objective
- Must be thorough
- Must be well documented
- Must protect the rights of suspected violators & witnesses
- Must not violate the law, company policy, labor agreements, or anyone’s right to privacy
- Must be confidential - evidence findings, notes, reports & conclusions should only be shared with those who need to know
- Should always involve upper-management & HR
Primary Purposes of any Investigation
- Documenting incidents
- Identifying the cause of undesirable situations
- Documenting & correlating facts
- Identifying suspects
- Compiling information to prove/disprove allegations or implicate/exonerate suspects
- To make a decision about suitability
What is a lack of solid, ethical standards that can seriously damage the effectiveness of an investigative unit & can leave the organization open to civil or criminal liability?
Ethics
Two Key Decisions for Outsourcing and Investigation
- Size of the preferred vendor
- Whether services will be bundled
5 Attributes of an effective & reliable investigation
- Objectivity
- Thoroughness
- Relevance
- Accuracy
- Timeliness
5 Principle resources of an investigation unit
- People
- Information
- Credibility
- Physical assets
- Financial assets
4 Phases of the investigative life cycle
- Initiation of the investigation & its source
- The investigation itself
- Reporting
- use of the information (includes adjudication)
3 Tools of an investigator (“the 3 I’s”)
- Information
- Instrumentation
- Interrogation (principal tool)
3 Definition or foundation documents for the unit
- Functional charter (usually produced in the suite)
- Policy statement
- Objectives
When should an employer determine whether the employee conduct is a legitimate subject of discipline & inquiry under state & federal laws?
Prior to conducting an investigation
Principle characteristics of internal theft
- diversion
- conversion
- disguise
- divergence
Incident investigations may also be referred to as…
Complaint Investigations (which is the most common type of investigation in many organizations
An Incident Reporting System does 2 things that could not otherwise be done
- Provides a history of events occurring to the organization
- Provides a basis for professional efforts at asset recapture, recovery or incident reduction or termination
4 Categories of Security Data Analysis
- Claims avoided
- Proofs of loss
- Recovery of physical assets
- Uninsured claims or causes of action
The purpose of an Incident Report is to…
Provide data on which to base security decisions
Benefits of an Incident Reporting System
- Identifies the item targeted for theft
- Determines which counter-measures were effective
- Classifies events that are high-probability / low-criticality to low-probability / high-criticality
- Provide an overview of where security personnel are spending their time
- Plot event trends
- Facilitate protection or recovery of assets and apprehension of thieves
3 Steps to recommended reporting progression
- All employees must notify their immediate supervisor of any incidents or known or suspected asset losses
- First-line supervisors should be responsible for completing reports of losses within their areas of responsibility
- The Security Manager is responsible for reviewing the report
3 Types of Incident Database Reports
- General management distribution reports
- Corrective action reports
- Loss status report
Predictive Modeling
By tracking & analyzing incidents, the security manager can determine countermeasures that may prevent future losses
What is a common mistake of inexperienced investigators
Failing to corroborate evidence
3 Forms of evidence
- Oral
- Documentary
- Physical
Spoken statement regarding person’s knowledge which may be direct or indirect & gained in any manner
Oral Evidence
Information usually in the form of documents or writing impressions
Documentary Evidence
Evidence that is tangible
Physical
Evidence that is first-hand knowledge
Direct Evidence
Evidence that is highly informed inference (aka: circumstance evidence or hearsay evidence)
Indirect Evidence
The rule that applies most often in determining the importance of evidence & its ability to prove a point
Materiality
In the majority of inquiries who the most available and valuable sources of information?
The persons involved
What evidence in its natural state, cannot be seen what is contained in the physical object that holds our evidence; equipment & software are required to make the evidence visible (i.e. fingerprints, electronic evidence)?
Latent Evidence
Categories of Physical Evidence
- Corpus Delicti
- Associative
- Identifying
Evidence that proves a crime has been committed
Corpus Delicti
Circumstantial evidence; links a suspect with the scene of the crime
Associative
Associative evidence that establishes the identity of suspect & found at the scene
Identifying
When does success in the use of evidence increase?
When an incident scene search is planned, coordinated, and executed by knowledgeable security employees
* A search may be either a cautious search of visible areas (avoiding evidence loss or contamination or a vigorous search of concealed areas)
2 Main tasks that the on-site team should perform
- Secure & protect the scene
- Take control of the scene immediately
In evidence searches what do you focus on first?
Evidence that could be lost
What OSHA standard says to utilize universal precautions that require all blood, body fluids or other potentially infectious materials to be treated as if infected with blood-borne diseases?
Blood-born pathogens standard
What are 3 things all explosive materials sensitive to?
heat, shock, friction
What can result from direct or indirect exposure to laser beams
Irreversible eye damage
* Prolonged exposure to the skin should also be avoided
What present hazards including toxic gases, explosive or oxygen-deficient atmospheres electrical dangers, or materials that can engulf personnel entering the space
Confined Spaces
PPE - what provides protection from acids, alkaline solutions, hydraulic fluid, photographic solutions, fuels, lubricants, aromatics, petroleum and chlorinated solvents.?
Nitrile
What offers resistance to oil, grease, acids, solvents, alkalies, bases & most refrigerants?
Neoprene
What is resistant to alkalies, oils & limited concentrations of nitric & chromic acids?
Polyvinyl Chloride (PVC)
What resists mild acids, caustic detergents, germicides & electronic solutions
Latex (natural rubber)
What material swells & degrades if exposed to gasoline or kerosene?
Latex
What is a running description of the incident scene?
The Narrative
What type of approach should be used in the narrative
Systematic
What should be used to supplement, not substitute, for the narrative?
Photographs & Sketches
What can be caused by an incorrect point of view, improper perspective & deceptive tones like shadows?
Distortion
What parts of the incident scene should be photographed first
The most fragile areas
In what positions (twice - first) should the important pieces of the evidence be photographed?
A medium distance view that shows the evidence & its position to other evidence A close view that includes a scale and fills the frame
Before releasing the incident scene ensure that the evidence is:
- Collected according to legal requirements
- Documented
- Marked for identification
Who is the only person to release the scene?
The person in charge
What is the most critical point of the incident scene investigation and is the time when errors occur?
Collection of physical evidence
What is the most common type of physical evidence?
Fingerprints
How many people should observe the evidence in place during recovery & being marked
Two
Where to mark evidence
Directly on the evidence when necessary
* The best way to certify a piece of evidence is with investigators initials
What establishes the actual chain of custody
Proper marking of evidence at the time of seizure & transfer
Adhesives - If possible submit the item to which the adhesive, caulk or sealant has adhered
If not possible remove a sample of the material with a clean sharp instrument & transfer it to a resealable plastic bag or leak-proof container, such as a film canister or plastic pill bottle
Steps for proper anthropology
- Clean & air-dry bones if possible
- Pack in paper bags & wrap in protective material, such as bubble wrap or paper
- If the tissue is present in the skeletal material, refrigerate until mailing & then ship in a foam cooler
- Collect insect samples found on the remains in leak-proof containers such as film canisters or plastic pill bottle
- Call the laboratory for additional instructions or contact an entomologist
Handling Blood Evidence
- Collect at least two 5ml tubes of blood in purple-top tubes, w/ EDTA as an anticoagulant for DNA analysis
- Collect samples for drug-or-alcohol testing in gray-top tubes
- Refrigerate (do not freeze) blood samples - use cold packs, not dry ice, during shipping
How to dry bloodstained garments
Air-dry
Bloodstains
- Do not place wet or dried garments in plastic or airtight containers
- Pack in a clean paper - do not use plastic containers
- Air-dry the cloth or swab & pack in clean paper or an envelope with sealed corners - do not use plastic containers
Oral Swabs (Buccal)
Air-dry the swabs & place in a clean paper or an envelope with sealed corners - do no use plastic containers
Building Materials
- Package each item of evidence in a separate paper bag - do not process tools for latent prints
- Submit known a questioned debris in leak-proof containers such as film canisters or plastic pill bottles - do not use paper or glass containers
Chemicals
- Collect an unstained control sample, package separately, & submit it with the stained evidence
- When cutting is not possible, transfer questioned stains by rubbing with a clean cotton swab
- Air-dry the swab & pack in a heat - sealed or resealable plastic bag Submit an unstained swab as a control
Computers
- Use a sturdy cardboard container when shipping computer components; if possible, use the original packing case with the fitted padding
- Use large, plastic bubble wrap or foam rubber pads as packing
- Do not use loose foam pieces because they lodge inside computers & components & create static charges that can cause data loss or damage to circuit boards
- Pack & ship central processing units in the upright position: label the outside container “this end up”
Controlled Substances
Submit evidence in separate, heat-sealed or resealed plastic bags
Lubricants
- Air-dry the evidence & package separately in paper bags
- Air-dry the swab & pack it in a heat-sealed or resealable plastic bag
- Package lubricants separately in leak-proof containers
Two sources of DNA are used in the Forensic analysis
- Nuclear DNA (nDNA) is typically analyzed in evidence containing blood, semen, saliva, body tissue and hairs with tissue at the roots
- Mitochondrial DNA (mtDNA) is typically analyzed in evidence containing naturally shed hairs, hair fragments, bones & teeth
Dyes
Do not submit largely stained evidence (e.g. car seats) when possible, cut a small sample of the stained area & submit in a heat-sealed or resealable plastic bag
Feathers
Submit feathers in heat-sealed or resealable plastic bags or paper bags
Fibers
Submit fibers in clean paper or an envelope with sealed corners
Glass
- Submit samples of glass from each broken window or source in leak-proof containers such as film canisters or plastic pill bottle (do not use paper or glass containers)
- Submit particles in leak-proof containers such as film canisters or plastic pill bottles - do not use paper or glass containers
- Submit vacuum sweepings in leak-proof containers - do no use paper or glass containers
Glass - Fractures
- Pack all glass separately & securely to avoid shifting & breaking during shipping
- Secure the glass between some plywood or sturdy cardboard - do not place any objects into the impact area
Guns & Gun Parts
- Firearms must be minimally handled to avoid loss or destruction of evidence
- Objects must not be allowed to enter or contact the firearms barrel, chamber, or other operating surfaces
- Use fingers to pick up a handgun by its knurl grips - Never stick anything down the barrel of the weapon
- Do not mark the item - firearm pieces must be identified with a tag containing the caliber, make, model and serial number
Hair
- Collect at least 25 known hairs from different parts of the head or pubic regions - comb & pull out the hairs
- Submit hairs in clean paper or an envelope with sealed corners
- Packages each group of hair separately in clean paper or an envelope with sealed corners - do not use plastic containers
- Refrigerate & submit as soon as possible to the selected laboratory
Images
- Never use the pause operation when viewing original videotapes
- Process all film including bank surveillance film, prior to submitting
- Do not mark or cut items submitted for comparisons where they are visible in the questioned images
- Submit items such as clothing & firearms for other examinations before submitting them for image comparison
Ink
Pack ink evidence separately from any document or surface with ink marks
Latent Fingerprints
The laboratory is the best place to develop latent prints However, it is sometimes necessary to develop latent prints at incident scenes
Paint
- Collect control paint chips - controls must be taken from an area close to but not in any damaged area
- Package paint specimens in leak-proof containers, such as vials or pillboxes
- Do not stick paint particles on adhesive tape
- Do not use plastic bags, cotton or envelopes to package paint specimens
Pepper Spray or Foam
- Air-dry the evidence & package separately in paper bags
- Moisten a clean cotton cloth or swab with isopropanol (rubbing alcohol) & wipe over the sprays or foams
- Prepare a second, moistened cloth or swab as a control
- Air-dry the cloths or swabs & pack separately in heat-sealed or resealable plastic bags
- Submit spray canisters when possible
Polymers
- Submit fragments in leak-proof containers, such as film canisters or plastic pill bottles - do not use cotton or paper containers
- Remove damaged motor-vehicle parts & package separately in resealable plastic bags or boxes
- If possible submit entire items with potential or smeared polymeric transfers
- Package separately in paper bags - pack to prevent stain removal by abrasive action during shipping
- Pack in clean paper - do not use plastic containers
Product Tampering
- Package & ship samples separately to avoid contamination
- submit samples in leak-proof containers, such as film canisters or plastic pill bottles - do not use paper or glass
Ropes & Cords
- Submit the entire rope or cord, if the rope or cord must be cut, specify which end was cut during evidence collection
- Submit in heat-sealed or resealable plastic or paper bags
Saliva & Urine
- Pack in clean paper or an envelope with sealed corners
- When possible, cut a large sample of saliva or urine stains from immovable objects with a clean sharp instrument
- Pick up cigarette butts with gloved hands or clean forceps - do not submit ashes Air-dry & place the cigarette butts from the same location in clean paper or an envelope with sealed corners
- Pick up chewing gum with gloved hands or clean forceps, air-dry and place in clean paper or envelope with sealed corners
Semen & Semen Stains
- Submit small, dry semen-stained objects to the selected laboratory
- Absorb dried semen stains on immovable objects onto a clean cotton cloth or swab moistened with distilled water
- Air-dry the swab or cloth & place in clean paper or an envelope with sealed corners
- These samples should not be packed in plastic containers
Photographing Shoeprint & Tire Tread Impressions
General incident scene photographs must be taken to relate the impressions to the incident scene
Shoeprint & Tire-tread Impressions
- Allow the cast to air-dry for at least 48 hrs
- Package the cast in paper, not plastic
- Air-dry & package evidence separately in bubble wrap, clean/smooth paper, laminated folders or paper bags
Soil
- Air-dry the soil & the clothing & package separately in paper bags
- Air-dry the soil & package separately in paper bags
- Submit known & questioned soil in leak-proof containers - do not use paper envelopes or glass containers
Tape
- Whenever possible submit tape still adhered to the substrate minimizing the loss of trace evidence, latent fingerprints or contact impressions
- Do not distort or tear the tape during removal
- If the tape is cut during removal document and initial each cut
Tissues Bones Teeth
- Place tissues samples in a clean, airtight plastic container without formalin or formaldehyde
- Place teeth & bone samples in clean paper or an envelope with sealed corners
- Freeze the evidence place in foam containers, and ship overnight on dry ice
Tool Marks
- Submit samples in leak-proof containers, such as film canisters or plastic pill bottles
- To avoid contamination, do not place the tool against the foot-marked evidence
- Submit the tool rather than making test cuts or impressions
Toxicology
- Because of a large number of potentially toxic substances, it may be necessary to screen for classes of poisons, such as:
- Volatile compounds (ethanol, methanol, isopropanol)
- Heavy metal (arsenic)
- Non-volatile organic compounds (drugs of abuse, pharmaceuticals)
- Miscellaneous substances (strychnine, cyanide)
Toxicology
- The quantity of biological specimens submitted depends on
- Whether identity of a toxic substance is known The route of administration
- Time after exposure that biological specimens are collected
- Whether the persons involved are living or dead
Toxicology
- Place each biological specimen in a separate, labeled, sealed glass tube, plastic cup, or heat-sealed or resealable plastic bag
- Biological specimens must be refrigerated or frozen during shipping
Chain of Custody
The uninterrupted control of evidence, critical to the admission of evidence in court
Written Evidence
Traits such as age, sex, personality, and intent cannot be determined by handwriting
Written Evidence - Types of False Signatures
- Traced signatures are prepared by using a genuine signature as a template or pattern
- Simulated signatures are prepared by copying or drawing a genuine signature
- Freehand signatures as written in the forger’s normal handwriting with no attempt to copy another person’s writing style
Documentary Evidence
Burned or charred paper with information on it can sometimes be deciphered - it must be minimally handled and shipped in the container in which it was burned in polyester film encapsulation or between layers of cotton in a rigid container
Res Gestae
- Things done is an exception to the rule against hearsay evidence based on the belief that because certain statements made naturally, spontaneously, and without deliberation during the course of an event, they leave little room for misunderstanding or misinterpretation by another person
Res Gestae
The courts believe such statements carry a high degree of credibility
Types of evidence that can be admitted as res gestate fall into three categories
- Words or phrases that form part of, or explain, a physical act
- Exclamations that are so spontaneous as to belie concoction
- Statements that are evidence as to someone’s state of mind
The Daubert decision (1993) and Federal Rules of Evidence (Rule 702) identify five considerations
- Whether the technique or theory can be or has been tested
- Whether the technique or theory has been subject to peer review and publication
- The known or potential rate of error of the technique or theory
- The existence and maintenance of standards and controls
- The degree to which the technique or theory has been generally accepted within the scientific community
Public vs. Private Sector Investigations Scope
Corporate investigations tend to be broader in scope than those initiated by public law enforcement
Private sector security value is frequently measured in
- Recovery
- Restitution
- Risk reduction
Burdens of Proof
- Public sector (criminal court): Proof beyond a reasonable doubt
- Private sector (civil court): Preponderance of the evidence
Differences in multi-national and international investigations fall into one or more of three categories
- Laws
- Liaison
- Approach
Differences in multi-national and international investigations fall into one or more of three categories
- Laws
- Liaison
- Approach
What originated in the securities industry (Securities Act of 1933)
Due Diligence
Due diligence
Always based on the “reasonably prudent person” rule
Due diligence
Diligence emphasizes the positive aspect of due care, while negligence describes the failure to exercise due care
What is the most important reasons for conducting due investigations
To protect assets
What should be reviewed when performing due diligence investigations on businesses?
Capital expenditures should be reviewed for the last five years
What is a common error in a due diligence investigation?
Relying on information from the target of the investigation
What is the first step in due diligence investigations
To examine the issue at hand - the deal, the person, the investment, etc. - and understand what factors to focus on to answer the problem
Due diligence investigative resources - Primary Sources
- interviews with individuals
- Direct observations of people, places or events
Due diligence investigative resources - Secondary Sources
- Government-maintained public records
- Commercial record sources
- Annual reports and other company records
- News and other media sources
Daubert vs. Merrell Dow Pharmaceuticals, Inc
requires judges to determine whether expert scientific testimony is based on sound science before allowing it into evidence
General Electric Co. vs. Joiner
Found that trial judges can specify the kind of scientific testimony that juries can hear
Kumho Tire vs. Carmichael Co
Expanded the scope of Daubert, requiring that any expert, scientific or otherwise, be scrutinized before testifying
Kumho Tire vs. Carmichael Co
Expanded the scope of Daubert, requiring that any expert, scientific or otherwise, be scrutinized before testifying
OSHA Investigation
OSHA expanded its general duty clause in 1993 to include a duty to protect employees from workplace violence when it fined Charter Barclay, psychiatric care facility, $12,000 for failing to protect its employees from assaults perpetrated by its patients
General Duty Clause
This part of the Act requires employers to provide employees with a working environment free from recognized hazards
Special Duty Clause
This part of the Act requires employers to comply with standards listed in the Act itself or published by the secretary of labor
State Standards
A state-adopted standard separate from the OSHA special duty standards under the Occupational Safety and Health State Plan Association (OSHPA) program - state standards, policies and procedures at least as effective as those of OSHA
Types of OSHA violations
- Imminent dangers
- Serious violation
- Non-serious violation
- De minimis conditions
- Repeated violation/failure to correct
OSHA normally schedules compliance inspections according to the following priorities
- In response to fatalities or the hospitalization of two or more employees from the same incident
- In response to employee complaints
- In selected high-hazard “target industries”
- Based on a random selection of industries that have not been previously inspected
What can cost much more than penalties?
Purchase of new equipment Plant remodeling Lost production time
What can cost much more than penalties?
Purchase of new equipment Plant remodeling Lost production time
OSHA officers may be looking for compliance with two types of standards
vertical standards: which apply to a particular industry or particular operations, practices, conditions, processes means, methods, equipment or installations Horizontal standards: which are more general standards applicable to multiple industries
Fines for OSHA violations
Serious violation: Up to $7k Non-serious violation: Up to $7k Repeated or willful violations: Up to $70k; minimum penalty for a willful violation is $5k Willful violation that resulted in the death of an employee is punishable by up to $10k in fines and a six-month jail sentence Violations of posting requirements are fined up to $7k each
OSHA provides criminal sanctions in 3 situations
- When an employer’s willful violation of a standard, rule, order, or regulation causes the death of an employee
- When an individual makes a false representation regarding compliance with the Act
- When a person gives advance notice of an inspection
In determining whether an employment relationship exists, the OSHRC uses the “economic realities test” to
- Determine who workers consider being their employer
- Who pays workers
- Who has a responsibility to control workers
- Whether the cited employer has control over workers
- Whether the cited employer had the power to hire or fire workers
Multiple-employer doctrine
Is interpreted to hold that general contractors may be held in violation of safety regulations even if they had no employees at the job site, as a general contractor normally has the responsibility and the means to ensure that other contractors fulfill their obligations for employee safety
Common defenses against OSHA-imposed criminal citations
- An isolated occurrence or employee misconduct
- Greater hazard
- Infeasibility or impossibility of compliance
Two types of injury and illness records must be maintained at each establishment
- The log and summary of Occupational injuries and illnesses (OSHA forms 300 and 300A)
- The Supplementary Record of Occupational Injuries and Illnesses (OSHA form 101) or equivalent
Occupational injuries and illnesses that must be recorded are those that result in
- Fatalities, regardless of the time between the injury and death, or the length of the illness
- Lost workday cases, other than fatalities
- Nonfatal cases without lost workdays that result in any of the following
Typically results from a work accident or simple incident
Injury
Typically arises from hours, days, or longer exposure to a substance, heat, noise, or other insults to the body, cumulative in its effect, and which may not have been noticed at the outset. It is an abnormal condition or disorder, other than an injury, caused by exposure to environmental factors connected with employment
Illness
Four-phase program conducted by the security force
Phase 1) Zone the plant and identify critical safety points; use self-inspection checklists the officer can complete
Phase 2) Train security officers in specific OSHA requirements applicable to different inspection zones
Phase 3) Design safety inspection forms to be used by security officers to conduct safety
Phase 4) Review any identified issues or safety discrepancies, and determine the actions to correct them
A “national consensus standard” is any of the following, as defined by OSHA
- Any occupational safety/health standard or modification by a national-recognized standards-producing organization
- Standards developed after conflicting or differing views had been considered
- A practice designated as a national consensus standard by the Secretary of Labor after consultation with other federal agencies
An interactive form of investigation
Undercover Investigation
Main potential problem in an undercover investigation
the possibility that the investigation will be exposed or compromised
Most common types of undercover investigations
Drug investigations Theft investigations
Five phases of undercover operations
- Planning and preparation
- Information gathering
- Verification and analysis
- Disciplinary and corrective action
- Prevention and education
Information gathering phase includes two types of assets
People in the project management team Processes for communications reporting, filing
Five distinct and interrelated individuals included in the investigative team
- undercover investigator
- Project manager
- Client representative
- A corporate attorney
- A law enforcement representative if necessary
One of the most popular formats for investigative reports is
Structured Narrative
Maintains and archives the closed case file
Custodian of Record
Why should I involve legal counsel?
is to protect the investigator’s work product from discovery
Two methods of placement for the undercover investigator in the desired position
- Cold hire
- Controlled hire
Cold hire
The investigator applies for and is hired for a position just like any other applicant (preferred but not always practical)
Controlled hire
The employment process is covertly manipulated to ensure the investigator is hired and placed correctly
What is the first step of the undercover investigator once engaged?
Relationship building
To make (or break) the investigation the undercover investigator must be able to
- Think
- Plan
- Execute
Employees who are involved in breaking the law in one way will often find it easy to join the operative in trying to break the law in other ways
Cognitive Consistency
Workplace crime is a function of three fundamental elements
- Quality of people hired
- The environment
- The quality of supervision
Interviews often begin with those most involved and work toward those less involved because
- perpetrator(s) has already been identified
- Interviews of others before the interrogation of the suspect may tip him off
The timing of the removal of the operative is one of the most frequently debated subjects- Operative is one of the most frequently debated subjects
Operative should be kept it is as long as possible
Who should the communications regarding the findings of an undercover investigation be delivered to?
The workforce only after all corrective actions have taken place
Employee prosecution rarely provides any real return on the company’s investment
Disciplinary action is a preferred recourse, since prosecution from a business perspective, only further erodes the corporate bottom line & has been shown to have little deterrent value
An activity, capability or resource that enhances the effectiveness or sufficiency of the investigative function
Force Multiplier
3 Important force multipliers in investigations
- Liaison
- Online information sources
- Intelligence information
Liaison
- Primarily a proactive medium
- Joint Task Forces (JTF’s) represent a highly-structured form of liaison
Sources - Types of Evidence
Interviewees or witnesses
Subject-matter experts
Physical evidence
Electronic evidence
Public records
Surveillance results
Open sources
In the corporate environment, most credible information on losses, sexual harassment and other reportable incidents comes from employee tips
Sources
Which are among the least accurate forms of investigative information?
Eyewitness Accounts
Information obtained in undercover operations come from three sources?
- The operative
- Employee (subject( interviews
- Witness interviews
2 Types of witnesses
Fact witness
Opinion witness
Investigative objectives tend to be _____ to the short-term expectations of the project?
Tactical
Specific
Relative to the timeliness of an investigation it is important to
- Open an investigation as soon as possible
- Complete an investigation as quickly as possible
- Avoid closing an investigation prematurely
The most important reasons for beginning an investigation as quickly as possible following the report of an incident or allegation are:
- The value of physical or electronic evidence diminishes rapidly
- Witnesses provide the best information when the incident is fresh in their memory
Formal documentation is among the first things to be neglected when caseloads increase
Management Responsibilities
Management should consider the purpose of the investigation at the:
- Case Level: sets the context within which the investigation will be conducted & helps keep focused
- Strategic level: Dictates the necessary planning, organizing equipping staffing & preparation
What is the main objective of Investigator Responsibilities?
For any preliminary investigation is to determine what crime or violation exists
Objective
Obtain information & evidence to be presented in a factual, final report to senior management can take appropriate action
Legal matters in investigations must be considered for two reasons:
- Protect the company against liability
- Ensure an appropriate conclusion if the case goes to court or another legal forum
The objective of the Report
Enable the reader to readily understand what the investigator did, why, & what resulted
5 basic steps of report writing
- Gather facts
- Record the facts immediately
- Organize the facts
- Write the report
- Evaluate & edit the report if necessary
Types of Investigative Reports
- Initial report (soon after the case is opened)
- Progress report (normally every 30 days)
- Special report (focused on unusual action may be supplemental to the progress report
- Final report (most important)
Who is the primary collector of relevant evidence
The Investigator
What is critical to the credibility of the investigator
Preparing for a court appearance or deposition
Surveillance can be broken down into three broad categories
- Physical (i.e. human observation or tracking)
- Psychological (i.e. behavioral analysis)
- Data (e.g. technical or electronic)
The interview is a process of gathering information
- “information interview” (non-accusatory) (Deming) or “general interview” (POA)
- “Administrative interview” (simple, unstructured, all interviews other than the subject) (Ferrara)
- Investigative & behavior - provoking questions to develop information
- When the interviewees become a subject target or the accused person in the interview it becomes on interrogation
An interrogation is the questioning of an accused or suspect person
- “Confrontational interview” (accusatory, highly-structured) (Deming & POA)
- “Investigatory interview” (complex, structured process focused on the subject (Ferrara)
- A monologue by investigator offering psychological justification) for the wrongful behavior
Hostages form an emotional bond with their captors
Stockholm Syndrome
A persistently-held belief in another person such that the belief becomes reality
Pygmalion Effect
Experienced interviewers frequently finish introducing other persons present by inviting them to spend a few minutes with the interviewee
Yes Conditioning
“Floating Point” Strategy
- Continuously re-evaluating a hypothesis as information is obtained allows an investigation to adjust questions accordingly
- 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
What is the most prized talent of an investigator?
The ability to obtain information through questioning
Skilled interviewers must be:
Patient
Persistent
Prepared
What is the most important factor of a successful interview?
The ability of the interviewer to establish a favorable rapport with the interviewee
What sets the tone of the interview?
Demeanor
A negative attitude translates into negative results
The value of each interview or interrogation is based on…
The investigator’s knowledge, skills in eliciting information, and ability to evaluate the veracity of the information obtained
Investigations that include searches must comply with what?
The Fourth Amendment to the US Constitution
An admission obtained by a private citizen who conducts an interrogation in violation of due process but otherwise follows constitutionally prescribed conduct may be admissible
The court recognized union employees’ rights to representation at investigatory interviews that the employee reasonably believes might result in discipline
The Weingarten Rule
In 2000, the NLRB expanded Weingarten & held that the right to representation at investigatory interviews applies equally to union & nonunion employees
but then…
In 2004, the NLRB ruled that non-unionized employees are not entitled under Sect. 7 of the NLRA to have a coworker accompany them to an interview with their employer, even if the employee reasonably believes that the interview might result in discipline
Interview Planning & Preparation
The most critical preparatory action before an interview is to become thoroughly familiar with the case information
Key factors in Interview Planning
Location
Time factors
Questioning order
Questions to ask
Persons present
The choice of interview site depends on
- Nature & phase of the investigation
- The apparent involvement of the interviewee
- The issue of interviewee confidentiality
- The desired level of formality
Where should uncooperative witnesses be interviewed?
In the security office or interview room
Interview Environment
- The subject should face the interviewer an witness should be seated to the side
- The interview should not be conducted at a desk or table
- The distance between the subject and the investigator should be about five feet
- The subject should always have a clear path to the room’s exit
- Interview only one subject at a time
- Interviews should be conducted quickly after an event, to capture fresh recollections
Priority of Interviews (in order)
- Persons not likely to be available later
- Persons believed to have the most pertinent information
- Persons likely to be hostile
- The offender or offending group
Documenting the Interview
Prepared notes are acceptable if the interviewer does not refer to them regularly during the interview
In interviews, the two types of questions generally asked are open & closed
- To put an interviewee at ease, the beginning of the interview should contain “closed” questions
- In the primary’s phase of an interview a narrative type of questioning should occur (“open”
What kind of question allow for an unlimited response from the witness in his or her own words, thereby generating a greater amount of unsolicited information
Open-ended
The interviewer should avoid making any promise or guarantee explicit or implied that:
- Is illegal
- Cannot be confirmed by the client or senior management
- Cannot be fulfilled
What may invalidate confessions or statements and may call for civil or criminal action
Coercion
Duress
Psychological constraint
Verbal abuse
Threats
Intimidation
What must be understood by the interviewee?
That they are free to leave the interview location
Most cases are solved with information developed during interviews and the subsequent efforts to corroborate or disprove interview findings
Four formats of a written confession
- A statement was written by the suspect
- A statement authored by the interrogator but read & signed by the suspect
- The statement took down by a secretary or stenographer & transcribed into a typed document for the suspect to read and sign
- Recorded statement (studio video) by the suspect
What must be done for a written statement or confession to be credible & admissible in US Court?
It must be given voluntarily be trustworthy. and include the following essential information
What is the best closing strategy for an interview?
Asking if there is anything to add & if he or she be called again
Reid Technique - 4 objectives of the interview
- Obtain valuable facts
- Eliminate the innocent
- Identify the guilty
- Obtain a confession
Verbal responses include both spoken words & gestures that serve as word substitutes other verbal cues are
Tone
Pitch
Speed
Clarity
Non-verbal Responses Include
Body movements
Position changes
Gestures
Facial expressions
Eye contact
What is responsible for more than half of the information & meaning of a message communicated ina conversation
Non-verbal Behavior
The Truthful Person
- Makes general sweeping denials
- Offers unqualified, direct, & spontaneous answers
- Exhibits a reasonable memory
- Responds to questions in a rational manner & a clear tone of voice
Deceptive Person
- Offers very specific denials
- Avoids realistic words
- Makes seemingly irrelevant comments
- Gives delayed, evasive, or vague answers
- Exhibits an unusually poor, selective, or remarkable memory
- Qualifies answers or uses religion or oaths to support statements
- Speaks in an irrational fragmented mumbled or subdued manner
A Truthful Person
- Sits upright but not rigid
- Positions himself or herself in front of the questioner
- Leans towards the questioner when making a point
- Appears relaxed & casual
A Deceptive Person
- Slouches or leans back in the chair
- Sits unnaturally stiffy
- Sits off to the side, not directly in front of the questioner
- Pulls elbows close to side arms folded & locked in front with legs crossed
- Exhibits rapid & erratic posture changes
Nonverbal behavior accompanies a deceptive response in an attempt by the guilty suspects to relieve anxiety
- Distraction behavior
- Displacement behavior
Shifts in body posture, bringing a hand to the face, crossing the arms, etc…
Distraction Behavior
Picking the lint off clothing, pacing, repetitious fast movement, etc…
Displacement Behavior
No single word or nonverbal behavior automatically means a person is lying or telling the truth
Activities suggesting deception
- Significant posture change
- Grooming gestures & cosmetic adjustments
- Supportive gestures
Which are a primary source of information & most critical aspect of an investigation?
- Interviews with victim
- Witnesses
- Informants
- Confidential informants
A person who has been involved in a physically debilitating situation should be interviewed briefly on the event’s crucial aspects before being allowed to rest
A person who is physically debilitated or psychologically stressed should not be subjected to a lengthy interview
Who should be questioned as to alcoholic beverages consumed within the last 24 hrs & 95 to any medication taken
The Interviewee
The interviewer should begin with broad; general questions & then become more specific
Witness Interviews
Several principles underlie the interviewing of a cooperative witness
- Maintain or reestablish rapport
- Personalize the interview by treating the witness as an individual
- State expectations
- Ask open-ended questions
- Avoid interruptions
- Allow pauses
Preparation begins long before litigation with an accurate & timely capture of facts & impressions of the incident in a report or notes
The testimonial evidence the security professional will be presenting in court is called “parol” or “spoken word” and the attorney will want to make sure it supports the case
Produce all tangible evidence
Duces Tectum
The legal process, where attorneys and/or judge ask questions to determine candidates’ sustainability to be on the jury
Voir dire
Theft and Fraud
- Most frequent & costly forms of dishonesty
- the most common motivation for an individual to commit an internal theft is one of economics or profit
- Employees may be an organization’s greatest threat second only to competition
- 30% of business failures result from employee theft with over one half of them failing in the first 3 years of their existence
Theft & Fraud
- Occupational fraud is a growing industry in which most perpetrators are first-time offenders
- US organizations lose to 6% of their annual revenues to fraud
- Small businesses suffer disproportionately larger losses than large businesses
- More than 2 million shoplifter apprehensions are made every year
- They are only a fraction of the estimated 200 million annual shoplifting incidents
Theft & Fraud (cntd…)
- Various studies estimate employees steal over a billion dollars a week from their employees
- Some employees will steel to “the extent the organization will allow”
- In the retail industry, up to 70% of losses are perpetrated by employees
- For every dollar lost to shoplifting, employees, steel another $15
Theft & Fraud (cntd..)
- In the foodservice industry, employee theft imposes a 4% tax an every customer dollar spent
- A serious form of embezzlement in the workplace is fraudulent cash disbursements
- Employees also steal time
Employee Theft & Fraud
Theft on the job is not necessarily correlated to external factors or influences; employees who are satisfied with their jobs are less likely to steel
What significantly affects individual employee attitudes toward theft
Peer Pressure & Attitude
Theft is usually perpetrated by what kind of employees
Those with Access
The greater opportunity for theft the greater the chance it will occur; the greater the chance of detection, the less likely employees will steel
Employees who steel…
are frequently involved in another counterproductive workplace activities
Red Flags of Employee Theft
- Secretive relationships
- Missing documents
- Indicators of substance abuse
- Irregular hours of operation or building entry
Primary Contributors to Employee Theft
- Lack of supervision
- Lack of effective processes
Bi-modal Distribution
- A small number of employees take large amounts of property
- The vast majority of those who steel take only small amounts
Two methods of theft committed by managers
- Embezzlement
- Defalcation
The fraudulent appropriation of property by a person to whom it is entrusted
Embezzlement
Misappropriation of trust funds or money held in a fiduciary capacity
Defalcation
Joseph Wells motivations for Fraud
- Financial pressures (gambling, drugs, living beyond one’s means, unexpected medical bills)
- A desire to be (or appear to be) successful
- Greed (predominant factor)
How is the opportunity for fraud created?
Through the absence or weakness of internal controls
Employees involved in theft have usually been involved in other misconduct
What is not an insurance against theft?
Tenure
Virtually every employee who steals has rationalized his or her dishonesty
No theft regardless how minor should be tolerated or ignored
Virtually every theft or fraud could have been prevented by better management
What are the most common form of workplace embezzlement?
Cash Disbursements
Four characteristic principles involved in internal thefts include
- Diversion: when the money stops being spent in one area of business or on a product; & starts being spent on another
- Conversion: when someone gives away or sells property that does not belong to them
- Disguise
- Divergence
The relevant facts or elements of most economic crimes are?
Motive
Opportunity
Ability (rationalization)
Most common rationalizations/myths by employers?
- Only the needy & greedy steal
- Good policies & procedures will catch most wrongdoers
- Audits identify most irregularities
- Prosecution is an effective deterrent
Most fraudsters are influenced by an opportunity to profit & a clear correlation exists between theft & opportunity
Opportunity
Employees displeased with their overall employment experience are most often those who engage in theft & other antisocial behavior at work
Job dissatisfaction
Employees are greatly influenced by the informal social controls of co-workers such as peer-group gossip, ridicule & ostracism
Social Control
Employee situational red flags for fraud
- High personal debts (medical, gambling, excessive speculation in the stock market, etc.)
- Poor credit rating or other financial difficulties
- Living beyond one’s means
- Excessive use of drugs or alcohol
- Perceived inequities (being passed over for promotion)
- Previous convictions for fraud or trust violations
- Low moral character
- Compulsive behavior
Employee opportunity red flags for fraud
- Position of trust
- Significant knowledge of key operations
- Easy rationalization of contradictory behavior
- Close association with suppliers & contractors over a long period
- Lax or remote supervision
Common elements that must be present in every fraud case
- Strong financial pressure
- Opportunity to commit fraud
- A means of justifying the fraud as appropriate
Organization situational red flags for fraud…
- Costs rising faster than revenues (profit squeeze)
- Significantly aged or excess inventories
- Extremely rapid expansion of overall business or particular lines of business
- Constantly operating in a crisis mode
- Unrealistic sales quotas or revenue targets
- Significant cash flow problems
- History of corruption in the company’s industry
- Stiff competition
- Outdating of the company’s products or services
- A high rate of turnover among key financial positions
Organizational opportunity red flags for fraud (cntd…)
- Dominant, hierarchical, & secretive management styles
- Unethical management models
- Exploitation, abuse, and poor management of employees
- Lack of employee training on the relationship between security and business success
- Lax enforcement of internal controls
- Heavy investments or losses
Organization opportunity red flags for fraud
- Line supervisors’ failure to develop on the effective loss-prevention environment
- Urgent need for favorable earnings
- Poor accounting records
- Lack of separation of responsibility for ordering and receiving
- Domination of operating & financial decisions by a single person
- Failure to establish, communicate or enforce a code of business conduct
A comprehensive model of theft & fraud prevention
Element 1: Prevention Problems
Components of prevention education include:
- Process for screening all applicants for past trust violations
- A code of business conduct that is communicated to employees, vendors & customers
- Proper accounting practices that record all the financial transactions of the business
- A clear separation of duties that limits the accessibility to key information that would allow an accounting individual to make changes in master files without someone knowing it
A comprehensive model of theft & fraud prevention
Element 1: Prevention Problems
Components of prevention education include:
- An indicator of the effectiveness of prevention efforts is the quick & accurate reporting of suspected theft & fraud
A comprehensive model of theft & fraud prevention
Element 2: Incident
Element 3: Incident Reporting
- Fostering a culture of integrity & honesty is the best practice
- The most ethical organizations (and most successful) regularly & passionately reward employees with recognition & gratitude
A comprehensive model of theft & fraud prevention
Element 4: Investigation
- Investigations are more successful when investigative roles & responsibilities are clearly defined
- The main objective of any preliminary investigation is to determine what crime or violation exists
- Under most circumstances, internal thefts & fraud investigations are conducted by in-house or private contractors & not by law enforcement
A comprehensive model of theft & fraud prevention
Element 5: Action
- Taking immediate action against theft & fraud perpetrators is one of the strongest deterrents to future losses
A comprehensive model of theft & fraud prevention
Element 6: Resolution
- Although discipline & prosecution can be effective deterrents, nothing makes a point like the payment of restitution by the perpetrator
How can organizations better prevent theft & fraud?
Move from a reactive to a proactive approach
What is the key to a fraud awareness program?
A continuous, well-developed & well-delivered
What type of climate should be maintained?
Trust
Honesty
Cooperation
What will significantly increase the chances of detecting vulnerabilities & systemic gaps before losses occur
Clear organizational policies procedures and practices
How can organizations prevent much internal theft & fraud?
Reducing temptation & increasing the probability of detection
Employees must feel confident that senior management will do what?
- Take issues seriously
- Will act with professionalism & discretion regarding reports made by employees
- Steadily demonstrate their resolve to handle offenders, properly at all levels of the organization
Practices that punish all employees are generally more expensive & hurt employee morale
- Draconian security methods such as searching employees at workplace exits are expensive and hurt employee morale
- Demonstrating a sincere appreciation for the individual’s contributions to the organization instills a greater sense of ownership and belonging & translate into less workplace theft
Policies & work rules must be?
Reasonable
Fair
Communicated properly
Enforced constantly
What percentage of employees responsible for 95% of workplace theft should practitioners focus on?
5%
What method can be used to deter dishonor employees & empower honest ones?
Anonymous Incident Report Systems
More occupational fraud is revealed by anonymous tips provided by employees than by all formal internal audits combined
The 3 “shuns”
Termination
Prosecution
Restitution
*the most difficult but does the victim the most good
Two prominent theories of white-collar crime
Differential accusation theory
Non-shareable need theory
Differential Association Theory
- Edwin Sutherland
- Criminal behavior is most often correlated with an individual’s association with a criminal environment; people who frequently associate with individuals who have criminal tendencies become criminals as a result of those relationships
- Criminal behavior is not inherited but learned through other people by example & verbal communications
- Individuals also learn incentives, rationalization & attitudes associated with particular crimes
- Individuals learn the psychological machinations needed to commit a crime & justify it (rationalize)
Non-shareable Need Theory
- Donal Crossey
- Defined as a violation of a position of financial trust
- Trusted persons become trust violators when they visualize themselves having non-shareable financial problems & feel they can resolve the problems by violating their position of trust
Non-shareable Need Theory
3 elements must be present before a fraud or similar crime can take place
- The perception of a non-shareable problem
- Opportunity for a trust violation
- Series of rationalizations that allow the individual to justify his or her behavior as appropriate for the situation
A compliance program should be built on?
Clear corporate policy
Purpose of a compliance program
Protect the organization against?
- Violation
- Lapses in business ethics
- Concomitant legal sanction
An effective program encourages
Enforcement
Monitoring
Employee Training
What is a key element of any compliance program?
An effective reporting mechanism
Main categories of crime relevant to asset protection
- Crimes based on unauthorized entry or presence
- Crimes based on theft
- Crimes based on force or threats of force against people
- Crimes based on damage or threats of damage to property
- Computer-related crimes
- Environmental crimes
The ultimate guide to what constitutes criminal conduct is the statutory language that describes the prohibited conduct
A misdemeanor or felony
Crime
An offense other than traffic violations that may include a sentence of 15 days to 1 yr.
Misdemeanor
An offense for which a sentence to a term of imprisonment in excess of one year may be imposed
Felony
Conduct punishable by a sentence to a term of imprisonment or to a fine as provided by a law
Offense
Criminal laws are based on a concept that prohibited conduct is a wrong against the general public, not merely a wrong against a particular person
What undermines the intent of criminal laws?
Treating crimes as though they affect only the parties involved - and not the whole community
What describes the state of mind or wrongful purpose required by criminal laws?
Mens rea (guilty mind)
What is an exception to “mens rea” requiring only negligent behavior that results in criminal inquiry without intent?
Criminal Negligence
The guilty act itself?
“Actus reus”
What are also an exception to Mens rea requiring the only completion of the criminal act?
Strict Liability
Two categories of sources of legal information
Primary source
Secondary source
In-state or federal statute or case
(a strong source of information)
Primary source
Another state’s or jurisdiction statute case or legal journal
(should not be relied upon formally)
Secondary source
What should be the last resource of legal review?
Trade Journals
The main body of criminal law is codified in?
Title 18 of the USC
An action of a legislative body that becomes a law when it is approved by the executive branch in the manner required by the constitution
Statutory Law
Acts** or **omissions are frequently defined as criminal even if they are not specifically included in the criminal sections of any statutory code
Laws passed by cities, towns, & villages that are not generally referred to as statutes because the local level of government is not sovereign
Ordinances
Cases decided by the appellate courts of a state or federal jurisdiction
Case Law
Instances of litigation (civil) or prosecution (criminal) handled by a district court are rarely used to proffer a legal argument and are considered merely persuasive
The following of prior case law in a jurisdiction
Precedent or the Principle of “Stare Decisis”
Cases overturned or “distinguished”
Determined not to apply to a particular case even if similar
US Constitution
- Basic document for US law
- Defines federal government & its branches & powers
- Grants the power to make laws to the legislative branch
- Article VI is the “supremacy clause” which makes laws under the US Constitution “the supreme law of the land”
- The US Constitution is the basis on which states & their citizens define the rights & duties at the government & the people
- Constitutional safeguards protect citizens from the government but not from other private citizens
The trespassing & asportation, obtaining or withholding of property belonging to another with the intent to permanently deprive the owner of the use & benefit of such property or to appropriate the property to the taker or some third party
Theft
To establish that a burglary has been committed one must prove that
- The accused knew or should have known he did not have authority to be in the locale
- The intent to commit a crime in connection with the unlawful presence or entry
The taking of property through the use of force or threat of force
Robbery
Shoplifting
In practice security personnel should apprehend a suspect as soon as he/she passes the designated payment or checkout area; apprehending a suspect off company property may be dangerous
Federal Criminal Sentencing Guidelines
Require convicted companies make restitution to injured parties & pay a non-tax deductible fee
“Let the master answer” - A common-law doctrine holding an employer liable for an employee’s acts that are within the scope of employment
Respondeat Superior
Any unauthorized listening whether done in person or by means of electronic or other equipment
Eavesdropping
Title 3 of the Omnibus Crime Control & Safe Streets Act
- Authorizes law enforcement of electronic surveillance
- Safeguards wire & oral communications
- Prohibits private possession/use of surveillence equipment
- Creates acceptable uniform circumstance for electrical surveillance
- Sets constitutionally acceptable procedures for government surveillance
Electronic Communications Privacy Act
Extends Title III protection to cell phones, fiber, teleconferencing, voicemail, email, encrypted transmission & most pagers
Allows government surveillance in the interest of national security
Foreign Surveillance Act
Categories of computer-related crimes
The computer itself is targeted
The computer is used to facilitate a traditional crime
The computer is used as a storage device in the criminal activity
Resource Conservation & Recovery Act 1976
First attempt to regulate the disposal of toxic waste
Comprehensive Environmental Response Compensation & Liability Act
(CERCLA)
Establishes crime liability for failure to report the release of a hazardous substance
Economic Espionage Act (1996)
All forms and types of business, technical, or economic information, tangible or intangible no matter how stored or compiled if:
-The owner thereof has taken reasonable measures to keep such information a secret
- The information derives independent economic value actual or potential from not being generally known to & not being readily ascertainable through proper means
Trade Secret
Provides criminal penalties for “controlling persons” in corporations under certain conditions
- Applies to any company having a class of securities registered pursuant to section 12 of the Securities Exchange Act of 1934
- Also applies to any company required to file reports pursuant to Section 15(d) of the Securities Exchange Act of 1934
Foreign Corrupt Practices Act (FCPA)
Makes it a criminal offense to offer a bribe to a foreign official to obtain or retain business
FCPA
Intention to take the person into custody
- Through actual or constructive seizure or detention
- With the understanding of the arrestee that he is arrested
Elements of an Arrest
An arrest can be made under these conditions
- Pursuant to federal or state law
- With or without a warrant
- By police, peace, officer, & private citizen
A judicial process issued upon probate cause authorizing or commanding an act
Warrant
Authorizes the taking into custody of the named person
Arrest Warrant
Authorizes the search of the named place under the conditions imposed
Search Warrant
In what way does the criminal law require statements be made by persons against their own interest?
Voluntary
An arrest without a warrant can be made by a police officer or a private person according to state law
- May arrest without a warrant with reasonable cause to believe the person committed an offense
- With reasonable cause, the police officer will not be held liable for the arrest
Police Officers
- Citizens’ arrest authority is limited to:
- Any crime committed in the presence of the arrested person
- A felony even if not committed in that person’s presence
Private Person
Private Person
- A security officer could be subject to civil damages if he apprehends the wrong person
- The arrested person must be taken “without unnecessary or unreasonable delay” before a court, judge, or police officer
*Failure to do so risks civil damages & criminal charges if force or threat of force was used
- The security officer must have authority to make the arrest & the person to be arrested must be made aware
* A lack of arrest authority (i.e.. no crime or wrong person) his actions may constitute a fake arrest or assault
A person who is unlawfully arrested can resist with all reasonable force
If a subject is killed int he process of an arrest, the officer may be guilty of manslaughter or murder
Private individuals who hold a valid police officer appointment & who make an arrest without a warrant (pursuant to the appointment) are protected as police officers
The inducement by an LEO of a person not otherwise disposed to do so, to commit a crime for the purpose of persecuting him
Entrapment
Entrapment
- Common (case) law for federal & some states; statutes in other states
- Entrapment cannot result from a private person unless acting with law enforcement (in some states)
- Conduct not constituting entrapment under the common law might still be considered a criminal act
- The mere act of giving another the opportunity to commit an offense is neither facilitation nor solicitation nor is it entrapment under current common law
Procuring another to commit a crime
Criminal Solicitation
Rendering aid to another with the knowledge it is in aid of the commission of an offense
Criminal Facilitation
The 4th Amendment
- Prohibits unreasonable searches
- Does not apply to searches by private persons
- A warrantless search incidental to arrest is authorized but cannot extend beyond the immediate area
Alternatives for when an employee is suspected of concealing evidence
- Arrest the employee on the charge of the crime
- Permit the employee to leave but file a criminal complaint with the police
- Take disciplinary action against the employee
* if doubtful a combo of the 2nd & 3rd alternatives might be wiser than a citizen’s arrest
Conditions of searches in private organizations
- Searches or inspections are consented to
- Searches or inspections are made conditions of employment
- Searches or inspections are not conducted in areas where the employee was given sole & exclusive right of possession & maintains a reasonable expectation of privacy, such as with a private locker or desk
In federal matters, the request to the grand jury is made by who?
US Attorney or Assistant US Attorney
In state actions, who makes the request or issues an “information”
US Attorney General
US Asst. Attorney General
District Attorney
County Attorney
Special Prosecutor
Use of Force
Reasonably necessary force is generally allowed in?
- Defense of oneself or others
- To restrain others who one believes are about to commit suicide or do themselves serious harm
- To correct a minor (if a parent or guardian has the authority to do so)
- By a police officer or person directed by an officer to assist, or a private citizen to arrest or prevent escape of a criminal
The permissible use of force varies jurisdiction to jurisdiction
Generally, deadly force can only be used when?
- Fear of one’s own life (where simply debilitating the offender is not an option)
- Some jurisdictions require the attack or threat of attack be actual
- Some jurisdictions require only a reasonable belief such an attack is occurring or threatened
- Prevention of a crime involving deadly weapons or the apprehension of a criminal with a deadly weapon
When using force in defense of another, some jurisdictions require that the defended person be authorized to use force to defend himself or herself in such cases the defender acts at his or her own peril
The general rule is that a lawful occupant or an individual in charge of premises may use an amount of force reasonably necessary (but not deadly force) in preventing or terminating a perceived criminal trespass
Defense of Premises
What are the two functions of locks alarms warning notices and other security measures?
- Serve as deterrents
- Provide a basis for appropriately invoking criminal sanctions against aggressors by security personnel acting in good faith
Administrative law is an application of?
Civil Law
Relates to functions powers and procedures of government administrative agencies and departments
Administrative Law
Administrative law focuses on how government agencies do what?
Carry out assigned tasks under constitutions and statutes
A government agency has an administrative role if it has the authority to?
- Make determinations affecting private rights, especially the power to make rules
- Adjudicate cases
- Conduct investigations
- Issue, suspend, revoke licenses
- Institute prosecutions
Administrative law is not a separate category of law but rather what?
The application of statutory civil law to government agencies
Actions of government must meet minimum standards of Constitutional due process
Government agencies that have access to, or distribute public information related to privacy, rulemaking, investigations, subpoenas, reports, inspections, hearings and informal reviews, licenses adjudications & judicial reviews (oversight of agency actions by the courts)
Administrative Procedures Act (APA)
Congress establishes, modifies & terminates agencies; which branch appoints key personnel?
Executive
In day-to-day activities, promulgation of rules & investigations agencies have very broad independence
An independent agency has the power to determine private rights through?
Rule-making
Investigations
Prosecution
Licensing
Other informal actions
Freedom of Information Act (FOIA) 1966
- An amendment to the APA
- Deals with the release & disclosure of certain kinds of information by the Federal Governemnt
the FOIA requires federal agencies to disseminate & disclose information about their activities & proceedings
- By publication in the Federal Register
- Distribution of material for public inspection & copying
Broad exemptions to the “Disclosure Rule”
- National security information
- Internal (agency) personnel rules & practices
- Information specifically exempted by statute
- Trade secrets & confidential commercial or financial information
The courts have required that in addition to being confidential, there must be a showing of an adverse effect on future government cooperation and a showing that disclosure will have an unfavorable & substantial impact on a party’s competitive position
A promise by a government agency, not to disclose information may not prevent later disclosure, by that agency or another
Exemptions to the Disclosure Rule
- Interagency & agency internal communication not normally available to parties in litigation with the agency
- Personnel, medical, and personal records
- Financial institutions information - financial institutions & agencies that regulate banks
Exemptions to the disclosure rule
- Geological information
- Investigation records if it would: interfere with enforcement proceedings, deny a fair hearing to any party, or amount to an invasion of personal privacy
- Disclose investigative techniques
- Endanger the safety of LE personnel
Health Insurance Portability & Accountability Act
HIPPA
Encouraged health care providers to engage in electronic transactions & required new safeguards to protect the security & confidentiality of the transactional information
HIPPA
- Covers health care entities that conduct certain financial & administrative transactions electronically
- Covers all medical records & health information used or disclosed by a covered entity, in any form
HIPAA
Covered entities generally must…
- Adopt written privacy procedures concerning who has access to protected information how it is used, & when it is disclosed
- Train employees on privacy procedures, and designate an individual responsible for ensuring the procedures are followed
HIPPA is enforced by the HHS Office for Civil Rights (OCR)
What is the main purpose of the Privacy Act?
Allow citizens to access information held by federal agencies about themselves
Privacy Act applies only to federal agencies & not to the private sector
Privacy Act provides following right & remedies
- Notice to and comment from the individual before disclosure by the agency (ten exceptions exist)
- A lawful FOIA application may require disclosure
- Right to access one’s own record & request justifiable amendments
- Right to civil damages if intentional improper disclosure caused injury
Civil Law
- Deals with private rights & remedies
- Primarily establishes and adjudicates rights among private persons, both individual & corporate
- Civil rights involve statutory law, rather than common law
- 50 titles in the U.S.C. Title 18 is criminal law - others are primarily civil
- There is greater diversity in state’s civil state law then criminal
Categories of Civil Law
- Statutory Law
- Common Law
* Contract common law
* Tort Common law
What do Federal & State Bills of Rights protect citizens from?
Other Citizens
Civil Law
- The number of subjects dealt with in civil law is much great
- The subjects of civil law developed & containing the most legislation are usually the subjects related to a state’s economic center
Common Law
When a federal court hears a common law dispute it applies the same legal principles applicable to state law at the same location
Terms & conditions expressed in words
Express Contracts
Terms & conditions not stated in words; based on the parties really intending the terms
Implied Contract
Imposes an obligation on someone who has benefited from an act or lack of an act, for another
Implied in Law
Based on parties’ conduct even without formal words, but not if some critical term is unstated
Implied in Fact
The value of a product or service, determined by a court, when it is disputed in an implied contract
Implied Reasonable Value
Liability for the acts of another without personal fault of the one liable
Vicarious Liability
If several parties have been jointly negligent but the judgment was against only one; that party is entitled to a proportionate contribution from the others
Contribution
*Might be prevented by a “hold-harmless” or “indemnification” in a contract
For an employer to be liable for its employee (agency relationship-vicarious liability)
The employee must have acted within the scope of his duties
Depending on the circumstances of the action taken while performing duties for a private employer; a law enforcement officer may be:
- Within the scope of employment of the LEA
- Within the scope of employment of the private employer
- Outside the scope of employment of either
A willful or negligent wrong done to one person by another
Tort
Unlike contract injuries, torts do not require any agreement between the parties & in cases of negligence may not depend on the intentions of the parties
One in which the actor intends the consequence’s of the act or to do the act resulting in injury
Willful Tort
The failure to use reasonable care & due diligence under the particular circumstances as a result of which another is injured or suffers some damage
Negligence
Negligence does not require intent, even an intent to be negligent - rather it is the absence of an attitude or intent - to be duly careful - that characterizes negligence
Negligence so gross or reckless as to be tantamount to acting with total disregard for the consequences of the action is sometimes held to be similar to an intentional wrong and may lead to heavier liability on the part of the negligent person
Exemplary or punitive damages may be awarded multiplied by a factor of the actual damages to dissuade the negligent party from similar future behavior
Examples of Torts
The actual use of force against another involves physical touching
Battery
Examples of Tort
Putting another in fear that force will be used against him or her; do not involve physical contact
Assault
Deprivation of another’s liberty or freedom which may involve actual physical restraint and may involve intimidation that physical force will be used if an escape is attempted
False Imprisonment
Wrongful appropriation of the personal property of another or exercise of dominion by the converter over the personal property of another in a way inconsistent with rightful owner’s interest
Conversion
Use of a trick, device, false scheme, or other deception that causes another to suffer loss because of reliance on the one committing the fraud
Fraud or Misrepresentation
Behavior that results in annoying unwholesome or destructive conditions or produces substantial interference with another’s use or enjoyment of his property
Nuisance
Damaging untrue oral (slanderous) & written (libelous) statements
Defamation
The truth of a statement is generally an adequate defense to an action of defamation
Occurs when without justification or proper cause there is
- Intrusion into secret affairs of another
- Disclosure of such affairs
- Placing of another in a false public light
- The appropriation of some private or secret aspect of another for the commercial use
Invasion of Privacy
Federal Tort Claims Act (FTCA)
Allows individuals to recover from the US for property damage, personal injury, & wrongful death caused by the negligence of a federal employee
FTCA
The government is liable if a law enforcement officer commits assault, battery, false imprisonment, false arrest, abuse of process or malicious prosecution
The government is not liable if the claim against LEO is for libel, slander, misrepresentation, deceit or interference with contract
