INVESTIGATION PLAN AND

MANAGEMENT
ARRANGED BY: PCI JOHN GELBERT BASALO
OBJECTIVES
• a. To enhance the ability of senior investigative managers to apply
„best practice‟ to the management of major crime investigations,
especially those that are multi-jurisdictional and multi-agency
orientated.
• b.
To provide a forum for the establishment of effective and
meaningful relationships, at an operational level, amongst Law
Enforcement agencies.
THE INVESTIGATION MANAGEMENT
SYSTEM CONSISTS OF:

• a. The Evidence Matrix;

• b. The Resource Spreadsheet;
• c. The Standard Tactical Plan; and
• d. The Major Investigation Plan
EVIDENCE MATRIX

• Facilitates Planning
• Sets the direction and focus of an investigation
• Useful as an adjudication tool for the sufficiency of evidence
• Useful as a briefing tool
• Useful in the review process
RESOURCE SPREADSHEET

• Enables an assessment of resource needs

• Presents a graphic display of relationship between avenues of
inquiry, resources and time
• Useful briefing tool
• Useful in the review process
STANDARD TACTICAL PLAN
• Six Point Plan (SMECAC)
• • Situation
• • Mission
• • Execution
• • Contingencies
• • Administration
• • Command and Communication
THE SIX POINT PLAN (SMECAC)
• Situation: General description of what has occurred. Description
could include:
• • outline of offence under investigation
• • details of the offender
• • resources available
• • other agencies involved
THE SIX POINT PLAN (SMECAC)

• Mission: A concise statement (no more than thirty words) about

the task you want to accomplish
• Execution: How you intend to carry out the mission
• • Information common to all
• • Specific tasks on Assignment Sheet
THE SIX POINT PLAN (SMECAC)
• . Contingency
• • What variables may be encountered
• • Consideration of alternatives
• • Recommendation for course of action based on appropriate
consideration of alternatives and risk
THE SIX POINT PLAN (SMECAC)
• Administration and Logistics
• • Support arrangements common to all
• • cost codes
• • personnel requirements
• • special equipment.
• • (Specific tasks on Assignment Sheet)
THE SIX POINT PLAN (SMECAC)
• Command and Communications
• • Controlling arrangements common to all
• • command structure
• • reporting channels
• • command post location
• • interview rooms
• • (Specific details on Assignment Sheet)
MAJOR INVESTIGATION PLAN

• A strategic planning tool used to manage investigations

• • Based on the SMECAC principle
• • Encourages managers to consider
• • the quality of results achieved
• • the time taken to complete tasks and achieve objectives
• • the cost of the investigation
THE MAJOR INVESTIGATION PLAN
INCLUDES

• Situation - General description of what has occurred.

• Description could include:
• • outline of offense under investigation
• • details of the offender
• • resources available
• • other agencies involved
THE MAJOR INVESTIGATION PLAN
INCLUDES
• 1.1 Background
• 1.2 Substantive Offence
• 1.3 Jurisdiction
• 1.4 Targets
• 1.5 Anticipated Duration
• 1.6 Multi-agency Investigations
• 1.7 Special Arrangements
THE MAJOR INVESTIGATION PLAN
INCLUDES
• Mission- A clear and concise statement (not more than thirty
words) on the outcomes and task you want to accomplish.
• Execution -
• 3.1 Concept of execution (how you will achieve the mission)
• 3.1.a Attachment (if appropriate, attach Tactical Plans)
THE MAJOR INVESTIGATION PLAN
INCLUDES
• Administration and Logistics
• 4.1 Costing of Investigation (should reflect anticipated
expenditure for: shared
agency arrangements, user-pay arrangements and own costings)
• 4.1a Attachment (if appropriate, attach a spreadsheet)
THE MAJOR INVESTIGATION PLAN
INCLUDES
• Command and Communication
• 5.1 Team Appointments
• 5.2 Recording System
• 5.3 Communications
• 5.4 Security
• 5.4.a Attachments (e.g. Risk Assessment)
INVESTIGATION PLAN TEMPLATE
• 1. What is being investigated?
• 2. What is the overall approach to gathering the evidence?
• 3. What and where is the evidence?
• 4. What problems might arise during the investigation?
• 5. What resources will be required?
INVESTIGATION PLAN TEMPLATE
• 6. How are internal and external communications going to be managed?
• 7. What are the milestones and timelines?
• 8. When will the investigation be completed?
1. WHAT IS BEING INVESTIGATED?

• The first step is to set out as precisely as possible exactly what it

is that is being investigated. It may be a specific allegation or
series of allegations. It may be a number of interrelated issues or
allegations. It is usually wise to keep the issue(s) as narrow and
focused as possible.
2. WHAT IS THE OVERALL APPROACH TO
GATHERING THE EVIDENCE?

• Prepare a brief outline setting out the overall approach to

conducting the investigation. What is the strategy? Draw a ‘big
picture’ of how it is anticipated the investigation will unfold. What
investigative steps will be taken, and in what order?
2. WHAT IS THE OVERALL APPROACH TO
GATHERING THE EVIDENCE?

• Decide, for example, if witness interviews should wait until

documents have been collected and reviewed. When, if at all,
should investigators go to any scene that relates to the
investigation?
• Should witnesses be interviewed in a certain order, if at all
possible?
3. WHAT AND WHERE IS THE EVIDENCE?

• Identify who should be spoken to and what documentary, physical

and digital evidence have to be gathered. The following categories
may be helpful as the investigator goes through that process
3. WHAT AND WHERE IS THE EVIDENCE?

• Laws and standards

• Investigators need to know the legal, regulatory and ethical
standards that apply to whatever is under scrutiny. Knowing them
gives both context and a baseline for the investigation.
3. WHAT AND WHERE IS THE EVIDENCE?
• Witnesses
• List the people who the investigator(s) will likely want to speak to
during the investigation, including a one-line reason as to why and
also where those individuals are physically located. If possible the
method to be used to conduct the interviews should be set out – in
person, by phone or by some other means. Explain the rationale
behind any preferred order of interviews. Will you likely be using
expert evidence? If so, who?
3. WHAT AND WHERE IS THE EVIDENCE?
• Witnesses
• List the people who the investigator(s) will likely want to speak to
during the investigation, including a one-line reason as to why and
also where those individuals are physically located. If possible the
method to be used to conduct the interviews should be set out – in
person, by phone or by some other means. Explain the rationale
behind any preferred order of interviews. Will you likely be using
expert evidence? If so, who?
3. WHAT AND WHERE IS THE EVIDENCE?
• Documents
• What documents may be relevant to the investigation? Who has
them? Where are they? How many of them are there likely to be?
How can they be obtained as quickly as possible? What will have
to be done to make sure they are thoroughly reviewed, once they
have been obtained?
3. WHAT AND WHERE IS THE EVIDENCE?
• Physical and digital evidence
• If physical evidence is a consideration, it will be necessary to
work out where it is, how it is going to be secured, whether a
chain of custody needs to be established, and whether expert
assistance will be needed to preserve and examine it.
4. WHAT PROBLEMS MIGHT ARISE DURING
THE INVESTIGATION?

• Investigators should attempt to identify possible special

considerations that, based on knowledge of the case or past
experience, may arise during the investigation. Possible solutions
should be considered for tackling them – or getting around them -
should they arise.
4. WHAT PROBLEMS MIGHT ARISE DURING
THE INVESTIGATION?

• Typical challenges or issues that might include:

• • Lack of cooperation
• • Fear of reprisal
• • Collusion between witnesses
• • Culture / language / capacity
• • Access to sources of evidence
4. WHAT PROBLEMS MIGHT ARISE DURING
THE INVESTIGATION?

• Typical challenges or issues that might include:

• . Potential destruction of or tampering with evidence
• • Need to use any investigative powers you have at your disposal,
such as a power of entry or a power to subpoena
5. WHAT RESOURCES WILL BE NEEDED?

• How many people will be needed to conduct the investigation

within a reasonable time? What technical or other support will be
necessary? How much is the investigation likely to cost?
6. HOW ARE INTERNAL AND EXTERNAL
COMMUNICATIONS GOING TO BE
MANAGED?
• If relevant, plan how to:
• • Announce an investigation;
• • Manage any information that comes in;
• • Keep those interested updated on the progress of the
investigation, without impacting the integrity of the investigation
itself;
• • Make sure anyone who should be ‘in the loop’, actually is.
7. WHAT ARE THE MILESTONES AND
TIMELINES?
• As the plan is developed, set out realistic targets and goals for
completing various stages of the investigation. Factor in how
much actual control you have over the pace of the investigation.
• Estimate when you will likely receive documents, how long it will
take to review them, at what point witnesses will have been
located and interviewed and so on.
8. WHEN WILL THE INVESTIGATION BE
COMPLETED?
• Come up with a rough estimate when the investigation will be
completed. Factor in:
• • The complexity of the issue(s);
• • How much background research has to be done;
• • How much evidence is there to be collected, including number
of potential witnesses and amount of documentation, physical and
digital evidence;
8. WHEN WILL THE INVESTIGATION BE
COMPLETED?
• • How any impediments identified in section 4 of the template will
factor into the equation;
• • How long it will take to analyze all the evidence;
• • How long will it take to write a report.
PERFORMANCE TASK
• STUDENTS WILL BE DIVIDED INTO FIVE GROUPS;
• A SCENARIO IS CREATED AND ASSIGNED TO EACH GROUP (MOST
COMMON CRIMES)
• STUDENTS SHALL WORK OUT ON THE ASSIGNED SCENARIO
• EACH GROUP WILL FILL UP THE RESOURCE SPREADSHEET,
EVIDENCE MATRIX AND ASSIGNMENT SHEET (SAMPLE FORMAT
IS PROVIDED TO EACH GROUP)
PERFORMANCE TASK
• EACH GROUP WILL CRAFT THEIR OWN INVESTIGATION PLAN IN
ACCORDANCE WITH SMECAC FORMAT (IN HARD COPY)
• EACH GROUP WILL ALSO MAKE A POWER POINT PRESENTATION
OF THEIR INVESTIGATION PLAN
• A PRESENTER WILL BE CHOSEN FROM AMONG THE MEMBERS OF
THE GROUP WHO WILL PRESENT THEIR PPT
• CLARIFICATORY EXAMINATION WILL BE ASKED
PERFORMANCE TASK
• EACH GROUP WILL SUBMIT THE HARD COPY IN LONG SIZE BOND
PAPER. THE FIRST PAGE SHOULD INCLUDE THE SUBJECT, THE
NAMES OF THE MEMBERS AND THEIR INDIVIDUAL
PARTICIPATION.
• NEXT PAGE WILL BE THE INVESTIGATTION PLAN, THEN THE
RESOURCE SPREADSHEET, INVESTIGATION MATRIX AND THE
ASSIGNMENT SHEET.
• ALL WILL BE ENCLOSED IN A TRANSPARENT LONG SIZE FOLDER
PERFORMANCE TASK
• EACH GROUP WILL BE RATED
• 40 % PRESENTATION
• 60 % PAPER
• FOR PRESENTATION: 30 PERCENT DELIVERY, 30 PERCENT
COMPREHENSIVENESS , 20 PERCENT AUDIENCE PARTICIPATION
AND 20 PERCENT REASONING ABILITY.
PERFORMANCE TASK
• FOR PAPER: COMPLETENESS 40 PERCENT; NEATNESS AND
PRESENTABILITY OF THE REPORT 20 PERCENT; SHOWMANSHIP
OF INVESTIGATIVE SKILLS 40 PERCENT
END OF PRESENTATION