Module 7&8 in LEA 102

Risk Assessment and Security Investigations

Risk Assessment is a subjective. An expert security analyst takes the information gathers during the
security survey, studies it in detail, and makes recommendationsS based on what the survey reveals.
Analysis involves judgments about what is good and not so good, what is safe and unsafe, and what are
the right and wrong ways to Conduct business.

A. Risk Assessment

Every business endeavor, whether run by an individual entrepreneur or a conglomerate, faces daily risks
to its well-being and survival. Top management is ultimately responsible for organizational security.
Management must thoroughly investigate the policies and procedures of the organization, the
conditions of the physical facility, the backgrounds and attitudes of the employees and the relationships
of the organization with the rest of the world. This is necessary before any worthwhile efforts can be
undertaken to make the organization more secure from the threat of losses due to injury, death,
damage or destruction.

Risk refers to both the probability that an undesirable outcome will occur and the potential magnitude
of the adverse consequences.

Purpose of Risk Assessment

There are different purposes for risk assessment of various types of organizations, activities or facilities.
Basically, risk assessment is made to determine the degree of exposure to hazards or dangers to
personnel or property.

The purpose of risk assessment is the determination of the vulnerability of a specific organization,
facility or activity to hazards or dangers caused by natural or other forces

Risk ldentification and Loss Probability

There are several citeria for an effective risk assessment, they are:

1. Establish Critically

This is the first criteria in a risk assessment, to determine the value impact or cost of any asset. should it
be lost as the result of natural or other forces. The person conducting the survey will need to ascertain
from the operational personnel the identification and relative value of the buildings, equipment and
activities in the area to be surveyed and how important they are to continued productivity for the entire
organization.

Example:

In a factory complex, one of the buildings may house manufacturing process that requires unique,
sophisticated equipment. If the operation of the entire factory depends completely upon the product of
that special equipment which is entirely irreplaceable or would take so long to replace that the company
could not survive, its protection should be alforded a high priority over operations that could be
performed in other spaces.

a. Priorities of Critically

Priorities for protection should be assigned so that the areas most critical to the survival of the
organization receive the best security, while non-critical areas are assigned a lesser priority for
protection.

In a situation in which two facilities have equal production processes, output capability, number of
personnel and structural size, yet one is self-sufficient in its Supply of necessary water or power, and the
second is Supported from external SOurces, the more self-sufficient facility may be given higher priority
because it would provide the most cost-effective product during and after emergency.

b. Establish Actual versus Desired Activities

Here the security surveyor must determine through interview and on-site visitation of the company in
order to establish the activities and procedures. Only after thorough inspection is made can a security
surveyor determine whether to assign a high priority or low priority rating.

C. Rating by Committee

2. Determine Vulnerability

The second criterion of a risk assessment is determining the degree of vulnerability the facility or activity
has with regard to damage or attack by natural or other forces. The vulnerability risk is also heightened
by the value and size of items maintained in the facility.

Vulnerability of natural forces is another area that should be assessed. Local records should be reviewed
to determine the frequency and severity of earthquakes, floods or other natural disasters.

a. Vulnerability Inspection

There are several ways to determine the vulnerability of a facility or activity to damage or attack. The
first is for the experience surveyor to personally inspect the facility for physical or operational weakness.
Such an inspection entails more than one

Visit. The facility should be observed during peak operational periods as well as during closed or slack
time. Nighttime visits are important, even if the facility is non-operational

b. History of Loses

Another method to ascertain the vulnerability of a facility is to look at its records of losses and to
determine whether all losses have been properly reported and recorded.

A high or obviously increasing rate of losses should alert the security surveyor to a vulnerability problem.
One must note that many losses are not reported to higher management because the operational
personnel are afraid that they will be held responsible. The surveyor will have to get such information
from the employees by routine interview methods.

c. Internal Consideration

The third method to determine the vulnerability ofa facility is to determine whether high- value
property or items are properly safeguarded from theft. Frequently the location for high- risk items is
chosen without the possibility of internal theft in mind, and maybe near exits lavatories or trash bins

3. Probability of Occurrence

The third criterion to a risk assessment is the degree of probability that natural or other forces will strike
any given organization, facility or activity. There is a high probability that disastrous storms will take
place along the hurricane belt. Blizzards are commonplace in the northern mid-western states Low ying
valleys with rivers or valleys below damS stand a high chance of flash floods during rainy season

a. Rate of natural Occurrence

Generally, one can observe the rate of past experiences and determine whether there is an increase,
decrease or relatively constant number of hazardous events occuring over a period of time. Then
couples with such factors as high priority for security, high vulnerability risk and frequent devastating
storms, the probability of loss is high.

The lack or infrequency of natural disasters. the absence of physical losses and low impact in event of
loss would predict a lower or insignificant probability.

b. Rate of Occurrence Caused by Humans

The loss probability can likewise be estimated for attacks by humans. A chart can be prepared to show
the number of known depredations committed during various periods in the past. By studying this, we
can see the trend that might be overlooked in a course of day-to-day business.

SECURITY INVESTIGATION

Security investigation is one of the major functions of a security organization. Most security officers and
supervisors are called upon to conduct preliminary investigation on theft, injury or any other kind of
untoward incident. These investigations are usually non-criminal in nature but still important since they
may result in civil litigation.

The term investigation means a planned and organized determination of facts concerning specific events,
occurrences, or conditions for a particular purpose. Security, on the other hand, means the protection of
property from loss through theft, fraud, fires, threats or hazards. While security investigation is a
planned and organized determination of facts concerning specific loss r damage of assets due to threats,
hazards, or unsecured conditions.
Elements of Investigation

1. Investigator

2. Purpose

3. Subject of Investigator

The Three I's of Investigation

1. Information The knowledge which the investigator gathers from different sources a. Acquired from
regular sources. Conscientious and public-spirited citizens, company files, school files, or records file of
other agencies.

b. Acquired from cultivated sources. Paid informants, bartenders, cab drivers,

acquaintances, etc.

2. Interrogation The skilful questioning of witnesses as well as suspects. This is different from an
interview. An interview means the simple questioning of a person who has no personal reason to
withhold information. Interrogation, in Contrast means the questioning of a suspect or other person
who is reluctant to divulge information Concerning the offense under investigation

3. Instrumentation It is the application of instruments and methods of physical Sciences to the

detection of crimes. In other words, the summation of the application of all sciences in crime detection
known as criminalistics

Purpose of Investigation

1. To identify the offender

2. To locate the ofender

3. To provide evidence

Qualities of Effective Investigation

The following are attributes that characterize an effective and reliable investigation, as outlined in the
Asset Protection and Security Management Handbook [POA Publishing LLC, 2003).

1. Objectivity

The investigator must accept any fact, regardless of its significance to preconceived ideas. Objectivity is
achieved by recognizing the investigator's personal prejudices and compensating for, or neutralizing, his
effect on the investigation. An investigator who cannot sort out and identify personal prejudices about
people, places and outlooks is likely to miss the mark.

2. Thoroughness
A thorough investigator checks all leads and checks key leads more than once to assure consistency in
results. When the statement of an interviewee is critical, the facts should be reviewed several times if
possible, without compromising the investigation

Corroborating important aspects through different sources is a proven means of achieving thoroughness.

3. Relevance

Relevance means that the information developed pertains to the subject of the investigation. Another
aspect of relevance is cause and effect. Is a developed fact the result of some other fact under
investigation, or is it the cause of that other fact? If a relationship can provide a direction for the
investigative effort, or working hypothesis, establishing the relationship may materially assist in
resolving the entire investigative problem.

4. Accuracy

The mental processes that collect and sort data from the physical senses often produce errors. Sound
investigative techniques dictate frequent tests for verification. Iif data is subject to physical
measurement, it must be measured. If an informant is the only source of key data, the infomant should
be tested at least for consistency in telling the version. All information must be tested for inherent
contradictions.

5. Timeliness

Timeliness is an extension of thoroughness. It requires that the investigation be carried to the latest
possible point at which infomation relevant to the investigation might be found.

Characteristics ofa Successful Investigator

1. Observant

2. Resourceful

3. Patient

4. People-oriented

5. Understanding of human behavior

6. Understanding of legal implication of the work

7. Possesses good communication skill

8. Self-starting

9. Healthfully skeptical

10. Intuitive
11 Energetic

12. A good actor

13. Possesses good judgment

14. Logical

15. Intelligent

16. Creative

17. Receptive

18. Possesses sense of wel1-being

19. Dedicated

20. Possesses good character

21. Professional

Systematic Approach to an Investigation

1. Define the investigative problem. Identify the requirements:

a. the reason Tor the investigation b. the particular phases or elements of investigation assign to the
investigator.

c. discerns whether the investigation is to be handled overtly or discreetly d. the priority and suspense
date assigned to the investigation e. the origin of the information

2. Collection of relevant data

a. Prepare a written investigative plan that includes:

• Information needed
• Methods used in -gathering information
• Location of sources to furnish this information

b. Methods and sources to be used by the investigator:

• Personal Observation
✓ Undercoverl use of agent
✓ Surveillance
✓ Raids and seizures
✓ Direct visit to the scene
• Study of documents or records
 ✓ Operational files
✓ ldentity of documents
✓ Newspapers, books, periodicals, etc.
✓ Correspondence, letter mails, telegrams, etc.
• Use of interrogation and interview
• Use of recruited informants
• Liaison with agencies that possess the information

3. Analysis and verification of the information gathered

a) Analysis involves a study of the information in terms of the questions set out to answer
• Data collected should be completed
• Supplied information must be based on facts

b. Verification method included the following:

• Personal observation of the agent

• Secure reliable statements from individuals making a personal observation through experience
• Documents or physical evidence

4. Drawing the conclusion is the function and responsibility of the person requesting the investigation.

Guidelines in Investigation

1. Preliminary Investigation

P-proceed to the scene promptily and safely

R -render assistance to the victim, if any

E -effect the arrest of the offender

L-locate and identify the witnesses interview the complainant and witnesses

M-maintain the crime scene and protect the evidence interrogate the suspect offender

N-note all conditions, events and remarks

A-arrange for the collection of evidence

R-report the incident fully and accurately

Y- yield the responsibility

2. Investigation Proper

a. Search of the crime Scene

b Taking of photographs of the crime scene

C. Crime scene sketch d Care of evidence

3. Methods of Investigation

nformation b. Interrogation

C. Instrumentation

Investigation Report

Report witing is a crucial part of the investigation. The most diligent and professionally conducted
investigation loses its value if the effort is not properly reported

An investigative report is a written document in which the investigator records the activity in the
investigation and the evidence gathered. A competent investigator Writes a report so that reader can
readily understand what the investigator did, why it was done and the results of the action

Purpose of the Investigation Report

The following are the rationale of an investigation report.

1 To provide a permanent official record of the investigation

2. To provide other investigators with information necessary to further advance the investigation.

3. To uphold the statements as facts on which designated authorities may base a criminal

Corrective or disciplinary action.

Qualities of an Investigation Report

1. The report serves as an objective statement of the investigation findings.

2. The report is an official record of the information relevant to the investigation which the investigator
submits to his Superior.

3. The report is clear, brief, accurate, impartial but complete.

4. The report is sans of the investigator's opinion or other irrelevant facts foreign to the

case.

5. The report is accurate and is a true representation of the facts of the case.

6. The report is clear and is logically and chronologically developed

Parts of the Report

The investigation report contains the following components:

1. Administrative data

a. Date

b. File number

c. Subject

d. Complaint S

e. Reporting investigato

f. Office of origin

g. Status h. Distribution

2. Synopsis a brief description of the actions of the perpetrator as established in the body of theweport.

3. Details of the report objective of the investigation

4. Conclusion and recommendation include the investigator's opinion, conclusion and

recommendationsS

5. Enclosures photographs, sketches, sworn statement

Incident-Type Investigation Complaint-Type Investigation

A. General Facts

1. The incident type investigation is also known as a complaint type investigation.

2. An investigation might begin with a personal observation. Usually, a report is made by Someone,
stating the facts and conditions, actual or alleged, from which an investigation shall be conducted. There
is a basis of complaint or report about an event or a condition.

B. Investigative Process

1. The investigative process begins with the acquisition of the initial information in which the
investigation is based on. It ends when the last piece of physical, testimonial or directly observed date
has been collected. The investigative process then moves into analysis and report writing process

2. A systematic approach to investigation is applied.

C. The Investigative Analysis

Preliminary analysis of the investigative steps to be taken is made by someone who assigns and reviews
investigation as well as by the investigator. This results to a note or list of the investigative steps to be
taken and in some instances the sequences. The investigator determines in advance the precise location
and availability of persons or premises to be interviewed or viewed. Other preliminary observations
include:

1. Is the prime or another informant a member of the bargaining unit? If so, what is the policy should
the informant request representation during the investigative interview?

2. Have all the persons, events and locations mentioned in the complaint been checked through

Security investigative indexes and the results noted?

3. Should any operating or executive management personnel be notified of the initiation of this
investigation before further steps are taken?

4 Does it appear that recording or photographic equipment will be needed? If so, is it in serviceable
condition?

5. Is there a need for more than one security investigator for the case?

Sequence of Investigative Leads

1. Subject to the circumstances of the situation, the following rules are established for priorities.
Prioritize those persons not likely to remain available for interview. These might include employees
scheduled for a trip or reassignment, informants only temporarily in the area, etc.

2. Give second priority for interview those persons with the most extensive information or the most
fundamental. This usually includes the prime informant or person providing the information which
predicated the inquiry

3. Interview next those individuals with relevant but less extensive information, such as those witnesses
or are familiar with a part of the subject matter.

4. The last to interview are those likely to be hostile. This usually includes the subject of the
investigation of criminal misconduct. The reasons for deferring this type of interview are:

a. It may create administrative obstacle as when hostile informant advises others not to cooperate or
makes a complaint to his supervisor or other member of the management which may require collateral
resolution and cause delay b. It may alert people in a position to compound or obstruct the investigation
and ultimately frustrate its purpose.

5. Observe first those events or locations which may not be available at a later date for observation or
which may change unless observed promptly

6. Observe later those events or locations with irrelevant characteristics but the conditionm of which at
a given time is not.

Interrogation and Interview

Interview of Non-Hostile Informants

lt must be noted that an interview conducted at the security officer affords better control of the
environment. However, it is likely to make the interviewee, even a friendly one, more apprehensive.
Considerations of the confidentiality may require a private interview. If they do not, and if the interview
could be accomplished at or near the informant's reqular workstation, consider doing it that way to
keep the informant at ease.

Show consideration for the comfort and convenience of interviewee, and if possible, preserve lengthy
interviews on audio tape recordings, making their total reconstruction later. The use of covert sound
recording should always be evaluated carefully

The Interrogator and the Science of Psychology

1.Human beings tend to be talkative, especially after a harrowing experience

2. Human beings tend to be defensive when confronted with superior authority.

3. People tend to rationalize acts they feel guilty about

4. People in tight situations tend to be unable to apply or remember lessons they have been taught
regarding security

5. Human beings normally do not wish to antagonize those who have power over them and are,
therefore tempted to be cooperative with those in control.

6. Human beings tend to attach less importance to what they think is their exclusive knowledge when
someone else demonstrates that he too possesses a great portion of that knowledge.

7. People tend to like being flattered and exonerated from guilt.

8. People are inclined to respond to kindness and understanding, especially in dire situations.

9. They resent having something they respect belittled, especially by someone they dislike

Interrogation of Suspected Individuals

1. Physical Aspect

a. The ideal interrogation room should be exclusive.

b. The room should be well lighted

C. The room should be furnished with chairs, rugs, and shades made of plain materials.

d. The walls and ceiling should be painted with neutral shade.

e. There should be nothing in the room that Would distract the attention in Working Condition.
f. No telephone should be in sight

g. The room should be provided with sound recording devices in good Working condition.

h. No interruption should be made during interrogation.

2. Mental Aspect

a. The interrogator must be familiar with all aspects of the investigation

b. He must never be on the defensive for lack of knowledge of the case

c. He must take advantage of slips made by the suspect

d. The interrogator must check all appropriate files or records

e. He should be able to determine What he knows, what he must find out and What the Suspect can tell.

f. He must be familiar with the techniques he intends to use to obtain the desired

information.

Types of Suspects in Terms of Attitude and Personality

1. Talkative type

2. Pathological liar

3. Disinterested type

4. Imprudent type

5. Explainer

6. Shy and uncommunicative

7. Know-nothing type.

8. Fearful type

Different Interrogation Schemes

1. Direct approach. The suspect can speak/ talk freely.

2 Emotional approach. Discover type of emotion to use to obtain an admission.

3 Trickery. One suspect is played against the other.

4. The location tricks. The mentioning of false episode.

5. Hate and revenge. Giving clever hints refering to a double cross and confession of an

accomplice

6.National pride. Making an appeal on nationalism or love of country.

Kindness and sympathy. Let the suspect understand that you are fair and will see that justice is accorded.

8. Mutt and Jeff. The use of two interrogators, one is hostle and the other is sympathetic

Interrogation Proper

1. Explain his rights under the Constitution

2 Begin with background questions

3. Study the subject's reactions to determinre the rtemogatcn technique seeded, te emotions to be
played upon 4 Pick up new leads.