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Why Do I Need The Conducting Investigations Manual? Conducting an investigation of any kind can be either a frustrating or a rewarding experience -- even for an experienced, competent and veteran investigator. It's often just frustrating for a person who possesses only basic investigative skills. Many security, operations, human resources and audit professionals are responsible for conducting investigations every day -- investigations that will likely change the course of many people's lives forever. A singular event -- or series of events -- may occur that requires investigation, including: l A mysterious cash disappearance from the vault l When a department supervisor reports that an employee is drunk at work l Negotiable documents that are missing from inventory l When an employee fails to show up for work l When a customer slips and falls in the branch lobby l A couple of vehicles collide in the institution's parking lot -- and one of them was driven by an employee arriving for work l Records showing that funds have been transferred from a general ledger account without appropriate authorization l When an employee reports that his department manager has been harassing him l When an employee reports that she is a victim of domestic violence and wants the institution to protect her l Property items that have been assigned to a specific location vanish from one audit to the next Your institution's ability to attract and retain qualified personnel and customers is directly related to the institution's professional image and reputation. This image is based upon trust and confidence, and the appearance of safety and soundness. A professional reputation takes years to acquire, moments to destroy and an eternity to rebuild. Every employee and every customer has the right to expect a fair, competent and professional investigation regarding any event that may affect them. The primary purpose of any investigation is to obtain the information necessary to resolve issues. The investigator gathers this information from victims, witnesses, informants, suspects and accomplices -- or other persons with whom he/she comes into contact during the investigation. Learning the concepts and practical application of time-tested investigative practices is essential to every investigator's success. Learn how. What Is The Conducting Investigations Manual? Version 7 of the Conducting Investigations Manual is a strategic, model plan for investigating crime and non-crime events. The 250 page edition is a complete prevention guide, training program, model investigative plan and reference guide in template form. It's designed for your use in developing and customizing a comprehensive and effective embezzlement prevention and investigation program for all of your institution's functions -- and it meets the needs of all types of financial institutions: banks, thrifts and credit unions. The Conducting Investigations Manual provides a comprehensive, step-by-step guide to the professional investigative process -- with a specific emphasis upon the crime of embezzlement. The embezzlement "model" is used because the crime of embezzlement is so common -- and because it is one of the most difficult crimes to understand or to investigate. Embezzlement also often incorporates many other crimes used as vehicles by offenders to steal property, goods, title or money. If an investigator can understand the crime of embezzlement, he/she will likely be able to investigate most events that will occur within a financial institution. Who Will Benefit From This Information? The Conducting Investigations Manual is written especially for those people who are responsible for an institution's safety and soundness: compliance officers, security officers, auditors, operations managers and human resources specialists. Previous investigative experience is helpful but not necessary to understand and use the information. You will benefit if you are responsible for or assist with conducting operational reviews, internal and external investigations, training employees or writing policy and procedures. The Conducting Investigations Manual uses a logical and strategic model to help you understand the professional investigative process -- and the true scope of both misuse and misappropriation within your institution. By understanding the professional investigative process, you can increase the likelihood of identifying and prosecuting offenders -- and recovering funds or property -- while reducing your personal liability. By understanding the cause and effect relationships between an institution's policies and operating procedures and the windows of opportunity open to embezzlers -- and the behaviors exhibited by offenders -- you can easily implement a comprehensive institution-wide anti-embezzlement program that will be equally effective against external crimes. What Does The Conducting Investigations Manual Contain? The Investigation Segment presents a strategic and tactical step-by-step approach to investigating and reporting both internal and external crimes, including: Foreword -- The Security Officer's Role (updated) l Introduction l The Problems ¡ The First Problem: Appointment ¡ The Second Problem: Training ¡ The Third Problem: Support l The Institution’s Security Program l What Does The Bank Protection Act and Regulation H Really Mean? ¡ Security Procedures ¡ Suspicious Activity Reports l Other Security Responsibilities ¡ Employees, Insiders & Institution-Affiliated Parties ¡ Customers, Vendors & Third-Party Service Providers ¡ Facilities That The Institution Owns, Manages, Maintains Or Controls ¡ Assets That Are Both Tangible & Intangible ¡ Records & Documents That Exist In All Forms, Paper & Electronic ¡ Laws, Rules & Regulations ¡ Security Practices & Resources l Summary 01. Conducting Investigations: An Overview (new)l Introduction l Investigations, Puzzles & Plays l The Investigator's Responsibilities l The Investigator's Trap l The Investigative Process 02. Employees' Rights (new) l Overview l Code Of Conduct l Establishing The Institution's & The Employees' Rights l Employee Rights To Privacy & Related Issues l The Employee Polygraph Protection Act l Admonishment To Suspect Employees 03. Basic Components Of An Investigationl Overview l The Components Of An Investigation l Elements Of A Crime l The Initial Investigative Process (updated) ¡ What Happened? ¡ Where Did It Happen? ¡ When Did It Happen? ¡ Who Is Involved? ¡ How Did It Happen? ¡ Why Did It Happen? l The Continuing Investigative Process (updated) l A Sample Investigation ¡ ¡ Means: The Tools Necessary To Commit The Crime (updated) ¡ Action: An Overt Step Towards The Completion Of The Crime ¡ Motive: A Reason For Criminal Behavior -- Often A Benefit To Self Or Others (updated) ¡ Intent: Proceeding with an action with full knowledge of the consequences 04. Planning Investigative Strategyl Overview (updated) l The Foundation Of A Professional Investigation (updated) l Justifying Further Investigation l The Investigator's Strategic Plan (updated) l The Basic Steps In Conducting An Embezzlement Investigation (updated) 05. Evidence Collection & Preservation l Overview l Evidence As An Investigative Tool l Methods For Obtaining Evidence (updated) l Evidence Treatment ¡ Paper Products As Evidence (updated) ¡ Paper Products Containing Handwriting As Evidence ¡ Currency As Evidence ¡ Computers & Data As Evidence (updated) ¡ Recorded Statements, Videotapes, Film & Digital Images As Evidence (updated) l Identifying Evidence l Investigative Keys (updated) 06. Developing A Personal Contact Strategyl Overview l Balancing Task, People & Time Issues l Everyone Is A Suspect (updated) l Personal Contact Strategy Guidelines (updated) ¡ Timing ¡ Setting ¡ Physical & Emotional Needs ¡ Elimination Or Placement Of Barriers ¡ Preparation ¡ Documenting Personal Contacts 07. The Communication Processl Overview l Communicating During Interviews & Interrogations (updated) l Types Of Communication (updated) l Examples Of Non-Verbal Communication ¡ Openness & Acceptance ¡ Defensiveness ¡ Cooperation & Readiness ¡ Evaluation & Indecisiveness ¡ Reassurance ¡ Suspicion & Avoidance ¡ Confidence & Self-Control ¡ Boredom & Frustration ¡ Nervousness ¡ Guilt 08. Interviewing: Concepts & Practical Applicationl Overview l Questions To Consider Before Interviewing l Motives For Cooperating During An Interview l Factors Likely To Affect Witness Perception & Memory l The Interview Methodology: Initial Approach & Preparation l The Interview Methodology: Making Personal Contact l The Interview Methodology: Establishing The Setting l The Interview Methodology: Establishing Rapport l The Interview Methodology: Recording The Interview l The Interview Methodology: Establishing Control l The Interview Methodology: Initial Questioning Techniques l The Interview Methodology: Focused Questioning Techniques l The Interview Methodology: Precise Questioning Techniques l The Interview Methodology: Gathering Additional Leads l The Interview Methodology: Ending Personal Contact l The Interview Methodology: Establishing Follow Up Tasks 09. Interrogating: Concepts & Practical Applicationl Overview l Differences & Similarities Between Interviewing & Interrogating (updated) l Questions To Answer Before Interrogating (updated) l Motives For Cooperating During An Interrogation l Supportive & Confrontive Interrogations (updated) l The Interrogation Methodology: Initial Approach & Preparation (updated) l The Interrogation Methodology: Making Personal Contact (updated) l The Interrogation Methodology: Establishing The Setting l The Interrogation Methodology: The Element Of Surprise (updated) l The Interrogation Methodology: Establishing Rapport l The Interrogation Methodology: Obtaining Handwriting Samples (updated) l The Interrogation Methodology: Recording The Interrogation l The Interrogation Methodology: Establishing Control l The Interrogation Methodology: Initial Questioning Techniques (updated) l The Interrogation Methodology: Focused Questioning Techniques (updated) l The Interrogation Methodology: Precise Questioning Techniques (updated) l The Interrogation Methodology: Acceptable Questioning Techniques (updated) l The Interrogation Methodology: Unacceptable Questioning Techniques (updated) l The Interrogation Methodology: Gathering Additional Leads l The Interrogation Methodology: Ending Personal Contact l The Interrogation Methodology: Getting Admissions l The Interrogation Methodology: Establishing Follow Up Tasks l The Interrogation Methodology: Disciplinary & Security Issues (updated) 10. Documenting The Investigation & Reports l Overview l Types Of Reports (updated) l Notes (updated) l Documenting The Investigation l Reporting Standards & Formats l Developing Internal Reporting Standards l Writing Reports (updated) l Routing The Report (updated) l Suspicious Activity Reports (updated) 11. Developing A Prosecution & Recovery Strategy l Overview l Prosecution & Recovery Guidelines (updated) l Fast Track Program For Financial Institution Fraud (updated) 12. Internal & External Media Relations l Overview l The Embezzlement Investigation & Internal Relations l The Employee Information Release l The Embezzlement Investigation & Media Relations (updated) l Using The Media To The Institution's Advantage l The Media Press Release l The Media As An Investigative Resource l Sample Press Release (updated) 13. Conducting Background Investigations l Introduction (new) l The Security Department Should Be Responsible (new) l Background Investigation Program: Policy & Procedure Components (new) l Sample Background Investigation Program Guidelines (new) l Initial & Continuing Background Investigation Practices (new) ¡ Pre-Employment Checklist (new) n For Institution-Affiliated Parties (new) n For Non-Institution-Affiliated Parties (new) l Background Investigation Strategies (new) l Learn About Offenders (new) l Primary Sources Of Information ¡ Public Records n n Court records n Library and commercial database records n Licensing records n Registration and certification n Newspapers and other publications n Notary records n Other agency records, Department or Secretary of (name) (updated) n Agency & Private Company Confidential Records (updated) n Financial Institution Records o Types Of Financial Institutions o Types Of Financial Relationships o Techniques For Concealing Income o Opening Accounts o Common Documents & Devices (updated) 14. Working With Cops, Lawyers & Judges (new) l Introduction l The Components ¡ The First Component -- Law Enforcement ¡ The Second Component -- Courts ¡ The Third Component -- Corrections l A Legal Primer ¡ Components Of An Investigation l Critical Documents ¡ Investigative Reports ¡ Investigative Notes ¡ Subpoenas ¡ Search Warrants l Your Strategic Plan l Establishing Prosecution Priorities ¡ Yours ¡ Your Legal Counsel ¡ The Prosecuting Attorney ¡ The Defense Attorney ¡ The Court ¡ The Defendant ¡ Reporting & Prosecuting Authorities The Embezzlement Segment presents a strategic and tactical approach to reducing your institution's exposure to any crime -- with a specific focus upon the crime of embezzlement, including: 15. Introduction To Embezzlement l Overview l What Embezzlement Really Costs l Your Loss Prevention Program (updated) l Loss Prevention Techniques l Developing A Loss Prevention Attitude l Factors Influencing The Loss Prevention Program l Combining Security & Operations Practices 16. Examples Of Embezzlement Schemes l Overview l The Most Popular Embezzlement Schemes (updated) l Critical Areas Of Risk ¡ Teller Cash ¡ Checks Issued To Or Sold By The Institution ¡ Credits To Accounts (updated) ¡ Items Delivered Or Received ¡ Wire Transfers ¡ Computer Crimes (updated) 17. Embezzlers: Working With Liars, Cheats & Thieves (new) l Overview l The Embezzler In You l Occupational Fraud Statistics l Organizational Structure & Functions l Where Embezzlers Look For Opportunities l Identifying Offenders l Motives For Committing Embezzlement l The Embezzler's Characteristics l The Embezzler's Behavior l The Differences Between Men & Women Embezzlers 18. Embezzlement Prevention Guidelines l Overview l The Embezzler's Strategic Plan l The Institution's Loss Prevention Strategic Plan ¡ Policies & Procedures ¡ Personnel ¡ Documents, Computers & Records ¡ Facilities The Forms & Templates Segment contains standardized forms and specialized templates for your use when conducting any investigation, including: l Incident Alert Form (new) l Handwriting Exemplars Form l Investigator's Checklist Form (updated) l Report - Contact Log Form l Report - Contact Notes Form l Report - Continuation Form l Report - Evidence Tags Form l Report - Follow Up Form l Report - Incident Tracking Log Form l Report - Initial Report Form l Report - Property Receipt l Statement - Victim/Witness/Informant (updated) l Statement - Suspect (updated) l Statement - Continuation l Suspicious Incident Report (updated) The Appendix provides a comprehensive reporting strategy in the form of a complete sample report of a fictitious investigation for your use as a reference tool, a training program and other reference materials, including: l File Listing l Embezzlement Prevention Training Program (updated) ¡ Overview (updated) ¡ Embezzlement Prevention Training Program Workbook Text (updated) ¡ What Is Embezzlement? ¡ Why Are Embezzlements So Costly? ¡ Why Do Employees Embezzle? (updated) ¡ What Symptoms Do Embezzlers Display? ¡ What Are My Responsibilities As An Employee? (updated) ¡ Summary ¡ Leader's Guide: Embezzlement Prevention Training Program n Overview n Objectives n Discussion Materials (updated) n Meeting Preparation: Security Officer or Auditor (updated) n Meeting Preparation: Branch/Department Manager & Supervisors n Conduct The Meeting n After The Meeting n Memo n Training Roster n Seminar Evaluation l Sample Media Relations Procedures: All Personnel (new) l Sample Confidentiality Agreement (updated) l Sample Investigative Report (updated) l Security Director Position Description (new) l Suspicious Activity Report (PDF format) (new) What Do I Do Next?Our manuals and software are marketed exclusively by BankersOnline.com and the company offers its own product warranty. Please visit BankersOnline.com's Banker Store for information about purchasing individual titles or the entire Financial Institution Security Library, which includes the following works: l Business Continuity Manual l Conducting Investigations Manual l Loss Prevention Techniques & Training Manual l Security Program Manual l Workplace Violence Manual Call Security Education Systems at 830-535-6500 for more information about related training and consulting services. |
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Conducting Investigations Manual 
SECURITY EDUCATION SYSTEMS LLC
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