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1L00448016
Danny
Saunders
Investigation
Strategies
What is an Investigation Strategy?
Why do we need a Strategy?
What should it include?
When do they need to be completed?
How to create a strategy
Practical exercise
How can you integrate it into your teams?
Way forward
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What is an
investigation I
strategy? I
*An overarching and evolving document that
explains the background, purpose and
objectives of an investigation
*lt should be clear:
* What the case is about?
* What are you seeking to achieve?
* How you are going to do it?
¢ Sub strategies explain how objectives
will be achieved (The detail)
to have a strategy?
*Auditable
*Accountable
¢Transparent
Provides the investigator with a plan to follow
*Evolving document that describes the approach to the
investigation
¢Review — (Assurance, audit, supervision)
Why is it necessary
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* The purpose of an investigative
strategy is to
* Identify the most appropriate
line(s) of enquiry to pursue
* Determine the objective of
pursuing particular lines of
enquiry
* Identify the investigative
action(s) necessary to efficiently
achieve the objectives, taking
into account resources,
priorities, necessity and
proportionality
¢ Direct and conduct investigative
actions to gather the maximum
amount of material which may
generate further lines of enquiry
Not a check list
Evolving document as case
progresses
Unique to each case and
circumstances
Objectives detail the purpose
Strategy details how it will be done
Sub strategies provide more
granular detail for specific areas (If
required)
Engage with SME where
appropriate
Supervision (Advice & guidance)
Material
Objectives
Methods and
resources
Responsibility
Ateam approach to decision making is recommended when
developing the individual elements of the strategy. Investigators
should supplement their team with those able to provide
authoritative advice when needed.
Investigators should ensure they have all the available information
on the material relating to the strategic area under development.
They should also ensure that everyone involved understands the
material and its meaning to the investigation.
Each of the strategies should be underpinned by a clear statement
of the objectives that the investigator is trying to achieve. General
and ambiguous statements such as ‘carry out house-to-house
ies to obtain information about the offence’ should be
A broad outline of the methods for achieving objectives ad the
resources required is needed. This should include sufficient
information to enable others to understand how the objectives will
be achieved.
Someone should be identified as being responsible for delivering
the strategy. If the strategy involvesa specialist technique or
procedures, the person identified to deliver it should have
sufficient understanding to be able to carry out their
responsibilities effectively.
The person responsible for each strategy should keep it under
constant review in light of the material that is coming into the
ation. Strategies should be formally reviewed on a regular
.Itis not an admission of personal failure to change
investigative direction in light of new material.
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What should the strategy
include?
* The purpose of the strategy
* To lay out the approach to be taken in the conduct of this investigation and to
pull together or reference the separate workstreams required to do so. It is not an
action plan; it lays out direction of travel and rationale.
* Background to the case
* 5 W’s (Who, What, Where, When and Why?)
* Investigation objectives
* Understand the full extent of loss and provide a detailed account and supporting
evidence to the Met Police in support of their investigation.
* Investigative strategy
* Pursue lines of enquiry from original information and enquiries conducted to date
in order to test against the requirements of any applicable laws, code, policy, or
regulations by:
* Example:
* a) Obtaining best evidence from the POL data systems and expert
witnesses’ evidence to provide a detailed understanding of the Branch
discrepancy in order to assist with the Met Police investigation.
*Supporting strategies
*Examples:
* Digital evidence
* Disclosure
* Financial investigation
* Stakeholders: Branch assurance, Contract team, NFSP, CIU etc
1)
CIU template — just an example
Introduce
Adapt
Integrate
Review
Retain
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Whoville Post Office
Postmaster — Andrew Grinch
Branch discrepancy of £145, 544
Suspected issues with stamp reversals
(£35k)
2 x missing cash pouches (£55k)
Missing cheques (£25k)
Physical cash discrepancy (£30,544)
Supporting strategies
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ee)
In groups of 5/6
Write elements of the Investigation
Strategy to analyse / investigate the
discrepancy at Whoville Post Office
Group 1 — Objectives of the investigation
Group 2 — Investigative strategy (Overarching)
Group 3 — Evidential review & document management
Group 4 - Disclosure
Group 5 — Financial investigation
Group 6 — Communications (Internal / external)
Group 7 — Partners & stakeholders
15 mins — preparation
Groups to be prepared to provide 2-3 min back brief
Summary
*What is an Investigation Strategy?
*Why do we need a Strategy?
*What should it include?
*When do they need to be completed?
How to create a strategy
*How can you integrate it into you teams?
*Way forward
*QUESTIONS?
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How can it be
integrated into your
team?
*ln your own teams:
* Network monitoring
* 72/3
* Branch Reconciliation
* Contract Team
* Consider how this could be
incorporated into to your
current practice.
* 10 mins - brainstorm session
* Nominated spokesperson to
present ideas to the group (2
min brief)
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DECISION & ACTION LOGS
SCOPE What is a Decision Why is it necessary? How TO complete it? Where is it
and Action log? recorded?
¢ LESSON OBJECTIVES:
* Understand the necessity and purpose of a D&A log
* Demonstrate how to articulate decisions with supporting rationale and link them to investigative
actions
Understand how to integrate D&A logs in to current investigations / working practice
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Key considerations
during an
investigation
*The key strategic considerations
during the investigation phase are:
*e managing material
*e developing hypotheses
*e developing a strategy
ee implementing the strategy.
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and actlons on this sheet. and Targetted and/or lustiied, Authorised, Proportionate,Auditable & Necessary
Record your Consistent, T
‘What s the decision
sbpaystinss Justification and rationale No. ion ‘Action Owner StartDate Target Date Completed
¢ A document to record all of your decisions and actions throughout the
investigation
° Keys areas:
* Decision date
* Decision (Not the action)
* Justification and rationale for the decision made
* Decision maker
* Actions
* They lead from the decision
* There can be multiple actions from each decision
* Start, target and completion dates
necessary?
Record of decisions and actions (Accountable)
Lawful (Disclosure/CPIA 96 requirements)
*Audit (Assurance / supervision)
Review (Public inquiry or other proceedings)
To ensure that the decisions are:
JUSTIFIED
*AUTHORISED
*PROPORTIONATE
*AUDITABLE
*NECESSARY
Why is the D&A log
POST
OFFICE
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mat I
] I
RAN ty I
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Decision making
I
¢ Helicopter approach
¢ Investigative mindset —
¢ ABC (Assume nothing, Believe
nothing, Challenge / check
everything)
* Open mind
* Receptive to alternative suggestions
¢ Seek alternative explanations
¢ Promotes thoroughness and greater
judgement
Can impact on decision and actions
Golden Hour Mieacscerecickee cate :
—— CCTV etc I
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Whatisthe decision ‘Name of
‘No. Decision Date santero Justification and rationale ee ‘Action Owner Start Date Target Date Completed
John Smith to commence investigation John Smith
Create investigation strategy for approval John Smith
Extract dat from Horizon using NOMAD and save as POF insecure
Johnsmith 06/06/23 08/06/23
SharePoint site i a
oom 06/01/00
duc atalssafe (Known errorlist) John Smith 06/06/23 08/06/23
Decision
* Remember not to confuse with the actions that follow decisions
¢ Adecision can be changed with new information (New entry - do not delete or overwrite)
* Can be to not do something — with supporting rationale and justification.
* Justification
* Justification and rationale (JAPAN is a good guide)
* Decision maker
* Person making the decision — doesn’t have to make the entry
* Actions
* Task to support the decision
* Can be multiple actions
Investigative actions
material or lead to the
resolution of the
investigation. The volume of
actions should be
proportionate to the type of
investigation.
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Identifying actions
*EXPERIENCE - Investigator should use their knowledge and
experience to decide which investigative actions are the most
appropriate in the circumstances.
*They should also be aware of the legal and ethical
considerations relating to the conduct of any investigative
action
Investigators must prioritise and determine the
proportionality of the investigative process in accordance
with POL policies. (Not the hammer to crack the nut)
*A standard method of developing the
should be adopted
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* General trawls for information Ma nagi ng information
* These can be undertaken in any investigation irrespective
of the circumstances of the case, but usually take The investigator should have an effective
place in the early stages when information about the . . .
offence is likely to be vague. information management system in place
to ensure that all the material gathered by
the investigation is recorded, analysed and
stored appropriately.
Examples of general trawls include:
+ Horizon data
Branch assurance reports
Stock Landing Taking into account requirements under
CFS the Criminal Procedure and investigation
HORice Act 1996 (CPIA).
NOMAD
This will help the investigator to assimilate
material about the issue and make
effective decisions about how it can be
used to progress the investigation.
* Tasking other teams
* Branch assurance — Branch audit
* Contract Advisor — Suspension decision
* Recover CCTV
* Grapevine (Time limits)
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* Groups of 5/6 (Ideally in Depts) Group 1 — Data extract
° TASK: Group 2 — Branch audit
1. Write 1 entry for the topic provided Group 3 — Contract suspension
2. Consider how D&A logs can be Group 4 — Close case
integrated to your working practice Group 5 — Refer to PAST
* Use the following headings only: Group 6 — Contact Postmaster
* Decision Group 7 — Refer case to CIU
¢ Justification & Rationale
* Action
e 15 Mins to complete exercise
* Group be prepared to back brief
response (2 mins)
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Summary & I I
Questions POST I
OFFICE /
¢ Understand the necessity and purpose for I
a D&A log in an investigation I
* Objectives:
* Be able to articulate decisions with
supporting rationale and link them to the I
subsequent investigative actions
* Understand how to integrate D&A logs in Cc“
to current investigations / working EZ 2
practice , 3