Lesson 2: Basic Principles of

Investigation

DEFINITION OF CRIMINAL INVESTIGATION Source: canstockphoto.com

Criminal Investigation is an activity that collects facts; accomplish the three-fold

aims of the criminal investigators: 1) to identify; 2) to locate the guilty party; and 3) to
provide evidence for his guilt.

Investigation - is the process of inquiring, eliciting, soliciting, and getting vital

information, facts and circumstances in order to establish the truth (PNP Criminal
Investigation Manual, 2011).

GOALS OF CRIMINAL INVESTIGATION

The investigative function has three goals. These goals are not totally separable, nor
are they necessarily harmonious. Pursuit of one goal may help achieve one or both of the
other goals.

1. Controlling Crime – Society has three basic mechanisms for controlling the
behavior of those engaged in crime, for example, deterrence, rehabilitation, and
incapacitation. Deterrence means scaring criminals into desisting from criminal behavior.
Rehabilitation entails directly inducing criminals to stop committing crimes. Incapacitation
occurs when active criminals are caught and removed from free society. Incarceration
prevents them from preying on the public.

2. Pursuing Justice – an important function of the police is to help uphold

community norms. The police should help the community draw the line between acceptable
and unacceptable behavior. As an arm of government, the police should enhance citizens’
feelings that people who seriously misbehave will be punished.

3. Addressing Problems – the final goal that is increasingly set for the investigators
is addressing the many and varied problems the citizenry feels the police should resolve.
Citizens’ individual reports of crimes are usually investigated individually. However, crimes
are often a part of a larger pattern of incidents that is symptomatic of a set of troublesome
circumstances for which the police may be held responsible (Soriano, 2008).

SIX CARDINAL POINTS OF CRIMINAL INVESTIGATION

In investigative work, the investigator’s effectiveness rests on his skills, techniques,

methods, and procedures. This includes knowledge on the six cardinal points of criminal
investigation, such as 5W’s & 1H. The investigator is able to find the truth about a crime as
he persistently endeavors to answer the following:

1. What specific offenses have been committed?

- This refers to the specific violation of criminal law.
2. Where were the offenses committed?
- Refers to the place or location of the commission of the offense.
3. When was the offense committed?
- This refers to the time and date of the commission of the offense.
4. Who committed the offense?
- This refers to the identity of the person or group persons who committed the
offense.
5. Why was the offenses committed?
- This refers to the motives or reasons for the commission of the offense
6. How was the offenses committed?
- This refers to the means and procedure in which the offense was committed
These Cardinal Points of Criminal Investigation are anchored on the theories of crime,
which involve three interdependent factors, namely, the motive, the opportunity and the
means.

Source: mycrimestudies.wordpress.com
 Opportunity - refers to the chance or occasion to commit the crime.

Motive – is defines as the reason which pushes a person to commit an act with a
definite result in mind. It is not an element of a crime but maybe useful when the identity of
the offender is unknown.

Means – is the capability of a person to commit a crime using available tools at their
disposal.

Even if the individual has the motive but doesn’t have the means and the opportunity,
he or she cannot consummate a crime. The three things are interdependent, and the absence
of one would not result into a crime (Müftüoglo, 2017).

Golden Rules to be observed by the Investigator:

1. Identify and if possible, retain for questioning the person who first notify the first
responder.
2. Determine the perpetrator by direct inquiry or observe him, if his identity is
immediately apparent.
3. Detain all person present at the scene, if possible.
4. Summons assistance, if necessary.
5. Safeguard the area by issuing appropriate orders and/or by physically isolating it.
6. Permit only authorized persons to enter the area.
7. Separate the witnesses so as to obtain independent statements.
8. Do not touch or move any object.
9. Definitely assign the duties of search if assistants are present.

Exception to the “do not touch or move any object rule”: When the victim is still
alive, the investigator should try to gather or acquire information from the victim himself
with regard to the surrounding circumstances of the crime, while assistance is calling for an
ambulance from the nearest hospital (Tradio, 1993).
 ACTIVITY 3:
Answer the question by explaining and giving
examples. Provide your answers in the box provided.

Name:__________________________ Subject/ Code: ______________ Rating:

_____

1. Explain the Golden Rule “do not touch or move any object”

2. What is Criminal Investigation

3. Explain the Theory of Crime

4. If one factor is missing based on the theory of crime, would there be a crime committed?

5. What are the three-fold aims of the criminal investigator?

Objectives of Criminal Investigation

1. To detect crime
2. To locate & identify suspect/
3. To arrest the suspect/s
4. To recover stolen property
5. To prepare appropriate criminal cases for prosecution

These objectives are based on the premise that perpetrators make mistakes when
committing crimes, thus leaving some type of evidence of who they are. Due to carelessness,
panic, underestimation of police capabilities, emotional or mental instability or the influence
of drugs or alcohol may result in criminals leaving evidence that could connect them with the
crime scene (Müftüoglo, 2017). For example, a burglar might leave his tools used to force
entry, a murderer might leave weapons used to commit the crime.

Criminal investigator – a public safety officer who is tasked to conduct the

investigation of all criminal cases as provided for and embodied under the Revised Penal
Code, Criminal Law, Special Laws which are criminal in nature. He or she is well-trained,
disciplined and experienced professional in the field of criminal investigation duties and
responsibilities (PNP Criminal Investigation Manual, 2011).

Qualities of a Good Investigator:

• The ability to persevere or stick to task despite of the monotony and the many
obstacles which surrounds it.
• He must have certain abilities and an intelligence which would enable him to acquire
information easily and readily and to use this information truthfully.
• He must be honest. He must be incorruptible and must possess personal integrity.
• He must have understanding (weaknesses and strength) of the people and the
environment where he/she lives.
• He must have a keen power of observation and accurate description (Tradio, 1993).

RESPONSIBILITIES OF CRIMINAL INVESTIGATORS (Müftüoglo, 2017).

Hereunder is the list of the responsibilities of the criminal investigators:

1. Decide of the crime was committed within the investigator’s jurisdictions.
2. Determine whether or not a crime has been committed.
3. Discover all facts pertaining to the complainant, i.e., gather and preserve physical
evidence, and develop and follow-up clues.
4. Recover stolen property.
5. Identify the perpetrator.
6. Locate and apprehend the perpetrator.
 7. Aid in the prosecution of the offender by providing evidence of guilt which is
admissible in court.
8. Testify effectively as witness in court.

TRAITS OF THE CRIMINAL INVESTIGATORS

The following are traits that are desirable and help to qualify an individual for
investigative work:
1. Intelligence and reasoning ability.
2. Curiosity and imagination.
3. Observation and memory
4. Knowledge of life and people.
5. Possession of technical “know-how”.
6. Perseverance and energy.
7. Ability to recognize and control bias and prejudice in one’s self and on the job.
8. Sensitivity to people’s feelings; acts with discretion and tact; respect and confidence.
9. Honesty and courage to withstand temptation and corruption.
10. Not overzealous and does not commit perjury when testifying.
11. Miscellaneous characteristics, such as ability to communicate effectively, verbally
and in writing.

TOOLS OF CRIMINAL INVESTIGATION (Tradio, 1993).

The tools of the investigator, for the sake of simplicity are the three “Is”.
1. Information – the word “information” is used here to describe the knowledge which
the investigator gathers from other persons. Of the three “I’s”, information is by far
the most important, since it answers the question, “Who did it?”
There are basically two kinds of information namely: 1) information acquired
from regular sources such as conscientious and public spirited citizens, company
records, and the files of other agencies; and 2) information of particular interest to the
criminal investigator, including knowledge that the experienced investigator gathers
from cultivated sources such as paid informants, former criminals, acquaintances,
drivers, waiters, etc.

2. Interrogation – includes the skillful questioning of witnesses and suspects. The

success of “information” depends on the intelligent selection of informative sources,
 while the effectiveness of interrogation varies with the craft, logic, and psychological
insight with which the investigator questions a person who is in possession of
information relevant to the case.
The term “interview” means the simple questioning of a person who has no
personal reason to withhold information and is therefore expected to cooperate with
the investigator. The term “interrogation” is the questioning of a suspect or person
who is normally expected to be reluctant in divulging information concerning the
offense under investigation. The ability to obtain b questioning is the most prized
talent of the investigator.
3. Instrumentation – is meant to include the application of the instruments and methods
of the physical sciences in the detection of crime. Physics, for example, offers such
aids as microscopy, photography, and the optical methods of analysis. The role of
chemistry is too well known for elaboration here. Biology and pathology are
particularly important in crimes involving physical evidence.
The sum of these physical sciences insofar as they are applied to crime
detection is called criminalistics. Their utility is associated mainly with physical
evidence. By their means a part of the corpus delicti may be established in certain
crimes – the cause of death in a homicide or the nature of the drug in a narcotic
violation.
They may be used to link the suspect to the scene of the crime by showing that
clue materials found at the scene possess the same constituents as materials
associated with the suspect. The same procedure is employed in identifying the
criminal by tracing a substance found at the scene to a source that can be immediately
associated with the suspect.
 ACTIVITY 4:
Answer the question by explaining and giving
examples. Provide your answers in the box provided.

Name:__________________________ Subject/ Code: ______________ Rating:

_____

1. Differentiate interview from interrogation?

2. Can anyone in the police force be a Criminal Investigator?

3. Give one example of Forensic Science in conducting investigation. Explain its process.

4. Give 5 examples of evidence that a careless perpetrator may leave in the crime scene.

5. Give a specific example of an information acquired from regular sources.

PHASES OF CRIMINAL INVESTIGATION (Tradio, 1993).

The objectives of the investigator as earlier stated provide a convenient division of

investigation into three phases:

1. The criminal is identified;

2. He is traced and located; and
3. The facts proving his guilt are gathered for court presentation.

This division is made for convenience of discussion, since the three phases are not
necessarily separated in time but are usually fused throughout the investigation. The same
evidence, moreover, can often be used for all these objectives. Throughout all phases of
investigation, the three “Is “are constantly employed. Although explicit reference to these
tools will not be made, their application at each step can be readily seen.

IDENTIFYING THE CRIMINAL OFFENDERS (Müftüoglo, 2017).

Ordinary the identity of the criminals is discovered in one or more of the following
ways:

1. Confession
Admission or confession by a suspect is a major objective of every investigation.
The confession is, of course, an excellent means of identifying the criminal. But from the
point of view of proving guilt at trial, this must be supported by other corroborative evidence.
The corpus delicti must be separately established in order to support a conviction. A
confession may be denied in court and unless an affirmative show of voluntariness can be
presented by the prosecution, the objections of defense counsel based on charges of duress
and coercion may prevail regardless of their truth.

2. Eyewitness Testimony
The ideal identification is made by several objective persons who are familiar with
the appearance of the accused and who personally witnessed the commission of the crime.
Where the witness and the accused are strangers and the period of observation was limited to
few seconds, the validity of the identification depends upon the ability of the witness to
observe and remember the relative “distinctiveness” of the accuser’s appearance, the
prevailing conditions of visibility and observations, and the lapse of time between the
criminal event and identification.

3. Circumstantial Evidence
The identifications may be established indirectly by proving other facts or
circumstances from which, either alone or in connection with other facts, the identity of the
perpetrator can be inferred. Evidence of this nature usually falls into one of the following
classes:

a. Motive - It may be inferred from circumstances and from the statements of

witnesses that the suspect could have been motivated by a desire for revenge or
personal gain. In offenses such as theft and robbery, the obvious motive is
monetary gain, and persons in financial straits may become suspects. In crimes of
personal violence such as murder, homicide or physical injuries, the existence of
strong personal hatred would be significant, and evidence of quarries and angry
statements would be relevant.
Closely related to motive is a desire for criminal action formed by a
pathologically disordered mind. Evidence relating to motive or state of mind is
usually obtained by interviewing witnesses. A study of the crime scene and
reconstruction of the occurrence, including the suspect’s prior and subsequent
acts, may often be helpful.

b. Opportunity - It must have been physically possible for the suspects to commit
the crime. He must have had access to area, was in the vicinity, or had available
means. It must be shown that the suspect could have been in the vicinity of the
crime scene in the sense that it was not improbable for him to have been there.
Thus the search is further limited to those who had the opportunity to commit the
crime by reason of probable physical presence, knowledge of the criminal
objective, and the absence of alibis.

4. Associative Evidence - The physical evidence may serve to identify the criminal
by means of the clue materials, personal property, or the characteristics pattern of procedure
deduced from the arrangement of objects at the crime scene. The perpetrator may leave some
clue at the scene such as weapons, tool, garment, fingerprint, or foot impression; he may
unwittingly carry from a scene a trace in the form of glass, paint, rouge, hair or blood. In
crimes of personally gin, the fruits of the crime may be in the perpetrator’s possession.
Crimes of violence will leave evidence of physical struggle. Where the offense involves the
application of force against property, contact with certain materials may be discernible.

Basic & Necessary Investigative Equipment of the Investigator (Müftüoglo, 2017).

A reliable Criminal investigator must see to it that all essentials tools and equipment
used for criminal investigation should be ready at all times. These tools include but are not
limited to the following:

1. Recording Instruments
a. Camera
b. Voice Recorder
c. Video Camera
d. Measuring device (Measuring tape, ruler, protractor)
e. Crime Scene template
f. Evidence Tags
g. Evidence Markers
h. Other electronic recording gadgets (body cams, & action cameras)

2. Personal Protective Equipment (PPE)

a. Eye protection
b. Hand protection
c. Foot protection
d. Respiratory protection
e. Head protection

3. Preservation materials
a. Police Line
b. Evidence Containers (evidence bags, boxes, glass, jars, bottles, canisters, tubes,
vials, etc).

4. Fingerprint Kit

5. General Crime Scene Kit

6. Evidence Collection Kit

7. Documentation and Investigative Forms

8. Investigator’s Checklist and Forms

In conducting investigation, certain standards must be followed to ensure successful

prosecution of cases. These consists of standard operating procedures, protocols and legal
requirements of the law that must be observed in handling criminal cases, which may result to
unsuccessful investigation if undermined. The following are the PNP’s protocols which are to
be observed when conducting an investigation (PNP Criminal Investigation Manual, 2011).

Protocols in Investigation (Müftüoglo, 2017).

1. Jurisdictional Investigation by the territorial unit concerned. - The police

station which has the territorial jurisdiction of the area or place where the crime happened
shall have jurisdiction of the case and shall immediately undertake the necessary
investigation and processing of the crime scene, unless otherwise directed by higher
authorities for a certain case to be investigated by other units or agencies.

2. Official Blotter - A police blotter is an 18” x 12” hard-bound logbook that contains
the daily register of all crime incident reports, official summary of arrests and other
significant events reported in a police station. The duty officer shall record all information
using the 5 W’s and 1 H in gathering the whereabouts of the case or complaint.

3. Investigation Team and Equipment - All investigator in any police unit must be a
graduate of the prescribed investigation course with a rank of at least Police Corporal

4. Duties of first responder - When the criminal has not been caught red-handed and
has fled the crime scene before the first police officer arrives, the first responder assumes
several responsibilities:
a. To ascertain any facts pertinent to the criminals that should be immediately transmitted
to the patrol force – personal description, make and model of vehicle used, and direction
of flight from the crime scene.
b. To isolate the crime scene, and if necessary, it environs, limiting access to those
responsible for its examination and processing.
c. To detain and separate eyewitnesses so they cannot discuss their individual observation
with each other.
d. To call for medical aid for the injured. In those cases where a person is seriously
injured, the first three steps may be deferred until this is attended to.
e. To continue to protect the crime scene until the officer who is responsible for the
continuing investigation arrives.

5. Duties and responsibilities of the investigating team - Members of the

investigating have their own assignment or roles to perform during the conduct of the
investigation. Each member of the investigating team has its functions that would be very
crucial in the success of the investigation and probably the solving of the case.

6. Investigation of Suspects - Protocols regarding the investigation of suspects

involves procedures when arrest is made and the booking procedures of the arrested person.
 7. Taking of sworn statements of suspects and witness - The execution of a
suspect’s “waiver” as stipulated in Article 125 of the Revised Penal Code shall always be
done in the presence of his chosen counsel or any independent lawyer.

The sworn statements or affidavit of the complainants and witnesses must be taken
immediately by the investigator-on-case. The affidavit of arrest of the arresting officers must
be taken not later than 24 hours. In inquest cases, the investigator-on-case and the arresting
officer shall observe Art. 125 of the Revised Penal Code.

8. Preparation of reports and filing of charges - The investigator-on-case shall

submit the spot report within 24 hours. Progress report, after-operation reports, final report
shall be filed after the case is filed before the court, and lastly accomplishment report should
also be submitted.

9. Procedure in the release of crime scene - Release of the crime scene is

accomplished only after completion of the survey and proper documentation of evidence,
witness, victims and suspects has been achieved. If the crime scene is a private property, it
must be released to the lawful owner and witnessed by any barangay official. If the property
is a government facility, it shall be released to the administrator.

10. Follow up a case - The investigator shall conduct a police operation to identify
and apprehend suspects based on the results of the initial investigation conducted.

11. Preparation of case investigation plan

The conduct of police operation involving sensational or high profile cases and
heinous crimes must be covered by a Case Investigation Plan (CIPLAN).

12. Attendance to court duties – the investigator-on-case and arresting officers shall
endeavor to ensure their attendance during court hearings while head of units shall supervise
and ensure the attendance of witnesses.

13. Uniform of the investigator – Prescribed uniform should be worn by

investigators when conducting investigation so as to identify them as PNP Personnel.

END OF MODULE 1: