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Information and statement-taking :

Information and statement-taking :. 2019 Certificate in Forensic Investigation Techniques, Thursday 29 August 2019. Part 1: OBTAINING INFORMATION AND TAKING STATEMENTS. INTRODUCTION. Overview of the investigative process Information Intelligence Interviewing Questioning Interrogation

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Information and statement-taking :

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  1. Information and statement-taking: 2019 Certificate in Forensic Investigation Techniques, Thursday 29 August 2019

  2. Part 1:OBTAINING INFORMATION AND TAKING STATEMENTS

  3. INTRODUCTION Overview of the investigative process • Information • Intelligence • Interviewing • Questioning • Interrogation • Statements • Conclusion

  4. OVERVIEW OF THE INVESTIGATIVE PROCESS • What is Investigation? • Who does investigation? • What powers do investigators have? • What is a Commissioner of Oaths? • Who are Commissioners of Oaths? • What powers do Commissioners of Oaths have?

  5. INFORMATION • What is information? • Where is information to be found? • What is an informant? • How can information be obtained? • How can information be stored?

  6. INTELLIGENCE • What is intelligence? • How is intelligence gathered? • By whom is intelligence gathered? • What is the value of intelligence? • The difference between information and intelligence • How is intelligence recorded?

  7. INTERVIEWING • Purpose of the interview • Points to remember • The interviewer’s attitude • The interviewee’s response • Success or failure • Taking notes

  8. QUESTIONING AND INTERROGATION • The essential elements • The difference • The requirements • Points to remember • Attitude

  9. STATEMENTS • Why take statements • The Importance of statements • Preparation • Taking notes • Story-line • Rapport building • Body language

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  11. Part 2:INFORMATION

  12. CONTENTS • Purpose of Sourcing Information • Types of Information • Sources of Information • Public Records, Networks and Associations • Managing Information Sourced • Principles of Lawfulness and Right to Privacy • Protection of Personal Information Legislation

  13. “Investigation is both an art and a science; a collaboration of common sense, judgement, intellect, experience, and an innate intuitiveness along with a grasp of relative technical knowledge .” Charles M Alifano “Fundamentals of Criminal Investigation”

  14. THE FRAUDSTER’S MIND He looks for opportunities to exploit control weaknesses He repeatshis recipe but may change to avoid detection He creates complex trails to conceal actions He bamboozles auditors and seniors with creative accounting and his own speak Personality ranges from MR/Ms Nice GUY to the tyrant you avoid ALWAYS KNOW YOUR ENEMY BE PREPARED WHEN YOU CONFRONT HIM= THE IMPORTANCE OF BACKGROUND SEARCHES

  15. COUNTERING THE MIND OF THE FRAUDSTER 1.USE YOUR OWN ABILITIES TO IDENTIFY THE WHAT, HOW AND SLIP POINTS • 2. BE AWARE OF • LEGALITY • TIME • COSTS 3.Find linkages to prove allegations

  16. PURPOSE = prove allegations or suspicions in court/disciplinary proceedings INFORMATION = knowledge, news and intelligence EVIDENCE = refined information. Sufficient, relevant and reliable information legally acquired Experienced with 1 of 5 senses and handed in at proceedings INVESTIGATION requires complete and objective evaluation of information and is not based on speculation or conjecture 4W and 1H FINDINGS substantiated by information sourced

  17. SOURCES OF INFORMATION GOLDEN RULE - SUPPORT EACH REPORT FINDING WITH EVIDENCE . NOT YOUR RESPONSIBILITY TO MAKE A FINDING OF GUILT. BE OBJECTIVE. Forms:: • Witness testimony – interviewing and questioning of independent and accomplice (s204) - primary source • Informants – motive and protection of identity - secondary source • Under cover operatives (Section 252 of Criminal Procedure Act) –costly, time consuming and entrapment – secondary source • Surveillance – person/device – static or moving – disclose existence of cameras on site • Documents, records and exhibits – searches and seizures - law enforcement with/without warrant or consent • Public Record Information • Networks and Associations

  18. ACCESS TO INFORMATION • Different Categories of Access: • Private persons –observe legal parameters • Law enforcement agencies with or without subpoena • includes • banking and telephone records, • interception of electronic communication and records • letters sent via postal services • Restricted to department officials (SARS) • Certain person to whom it was made as in attorney/doctor privilege

  19. INFORMATION AGE – OUR GREATEST ASSET

  20. PUBLIC RECORDS Information developed by and open to the public. Commercial or Government controlled databases Credit Bureaus - ITC and Experian Identity Number, Name and Address Verification MIE academic qualifications; Deeds Office property, Home Affairs – citizenship, marital status dead/alive, CIPC -company and cc registrations, directors’ names SARS -Vat and tax registrations, Department of Social Development -NGOs and PBOs Business directories, News media, Research Articles BE AWARE OF DEFINITION OF PERSONAL INFORMATION UNDER POPI

  21. MANAGEMENT OF DATA - CREATION OF TIMELINE of individual SPM • Provides overview of info in database • Plots linkages in time • Allows comparison with other time lines • Identifies action triggers

  22. PERSONAL NETWORKS Build good rapport with people you know and trust to provide required information to meet this objective Respect mutual confidentiality Keep enlarging and maintaining the network Listen and compare information given with what you know SCHOOL/COLLEGE/ VARSITY PROFESSIONAL ASSOCIATIONS ACFE, ICFP, IIA, SABRIC, BAC, SASA CHURCHES SPORTS CLUBS SOCIAL CLUBS BUSINESS COLLEAGUES

  23. HANDLING ORAL INFORMATION Continuously listen attentively, Rememberand compare new information with what you already know Look for similarities and inconsistencies Build relationships between those involved and different methodologies used to commit crimes Gather personal information directly from individual interviewed informing him first why required (POPIA)

  24. MANAGING DOCUMENTARY INFORMATION Don’t just gather– you WILL get bogged down. RATHER Identify the type of fraud Develop a theory of “what was it that happened” - work towards proving or disproving it Gather widely, analyze closely, review objectively and ruthlessly; Return what is not required KEEP THE INVESTIGATION SIMPLE, COMPREHENSIVE AND UNDERSTANDABLE Be aware of the destruction caused by the shredder and the delete button

  25. MANAGING DOCUMENTARY INFORMATION 1. Starting point -chaos 2. Starting to develop some order 3.Filed, boxed ready for Court Develop logical system for sorting documents File and number according to report findings Use dividers and sub-dividers Evidence to support each step in transaction e.g. daily takings summary, bank deposit slip & bank statement Do not tamper with or change any document – including punching holes Secure originals and create working copies Make soft copies of all documents and store on cd/separate hard-drives

  26. BE ALERT TO PHONY DOCUMENTS, OBTAIN AND COMPARE ORIGINALS Changed details of supplier and client Genuine

  27. ASSET VERIFICATION AND UTILISATION 1. Balance sheet 3. Job Card 4. Driver Allocation Register 5. Security Access Control Register 6. Vehicle Tracking Report 2. Fixed Asset Register ? Are all assets ACCOUNTED for VERIFICATION that all used for business purposes

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  29. REGULATION OF INTERCEPTION OF COMMUNICATIONS AND PROVISION OF COMMUNICATION RELATED INFORMATION ACT (NO 7 OF 2000) (RICA) • Section 1Definition s • Communicationrelates to direct and indirect communication • direct is • oral communication, other than indirect communication between 2 or more persons which occurs in the immediate presence of all the persons participating in that communication. • Utterance by a person who is participating in an indirect communication if the utterance is audible to another person who at the time that indirect communication occurs is within the immediate presence of the person participating in the indirect communication Indirect communication B Utterance A C

  30. REGULATION OF INTERCEPTION OF COMMUNICATIONS AND PROVISION OF COMMUNICATION RELATED INFORMATION ACT (NO 7 OF 2000) b. indirect communication is the transfer of information, messages or part thereof I the forms of speech, music or other sounds, data, text, visual images (animated or not), signals radio frequency spectrum or a combination of these forms. 2. Definition of Intercept Acquisition of the contents of communication by: Monitoring device Viewing or inspecting the contents of communication Diverting indirect communication from its intended destination to another destination.

  31. REGULATION OF INTERCEPTION OF COMMUNICATIONS AND PROVISION OF COMMUNICATION RELATED INFORMATION ACT (NO 7 OF 2000) • Section 2 “No person may intentionally intercept or attempt to intercept or authorise or procure any other person to intercept or attempt to intercept at any place in the Republic any communication in the course of its occurrence or transmission.” Section 4 -9 The Act makes provisions for various exceptions such as: • where the person is a party to the communication; • interception is by any person but a party to the communication has given that person prior written consent; • In the course of business • to prevent serious bodily harm • to establish location in an emergency • Authorized by Other Acts. distinction between any person and a law enforcement officer no exception is permitted where the interception is for the purpose of committing an offence

  32. REGULATION OF INTERCEPTION OF COMMUNICATIONS AND PROVISION OF COMMUNICATION RELATED INFORMATION ACT (NO 7 OF 2000) • Section 6 – Exceptions • relate to business – include where information is required to establish a set of facts • Before you proceed: Ensure client has policy that allows downloading of all information stored on company electronic devices

  33. REGULATION OF INTERCEPTION OF COMMUNICATIONS AND PROVISION OF COMMUNICATION RELATED INFORMATION ACT (NO 7 OF 2000) Section 12 No telecommunication service provider may provide real time or archived communication to any person other than the customer. Section 14 allows for the customer to give written authorisation to the service provider to release specified communication to a named person. Section 16 relates to the application for and issuing of an interception directive Applicant as defined in Section 1 – SAPS, SANDF Intelligence Services, Directorate, IPID, Law enforcement agency – authorisation of senior personnel (Maj Gen/ Gen Manager) required. Made to a Designated Judge Format of application: includes name, details and location of person’s whose telecommunication to be intercepted; serious offence; other investigation methods have failed to solicit required information or it is too dangerous to use other investigation methods; duration of the interception; no interception applied for previously. Directive is issued in writing and only valid for three months at a time.

  34. PRINCIPLES OF LAWFULNESS AND RIGHT TO PRIVACY Section 35.5 of Constitution Evidence obtained in a manner which violates any right should be excluded IF it will render a trail unfair or be detrimental to the administration of justice. Balance the individual’s legitimate expectation of privacy with what is viewed as objectively reasonable by society ProteaTechnology vs Wainer 1997(9) BCLR 1225 (W) -taped conversations of an employee about the affairs of the employer company the employee did not enjoy the constitutional right S V Kidson 1999 (1) SACR 338 (W) - Interception of a call to which one is a party does not constitute third party monitoring It appears it is possible to legally record a conversation one is party to even without the prior consent of the other party.

  35. LEGISLATION DEALING WITH INFORMATION PROMOTION OF ACCESS TO INFORMATION ACT (NO 2 OF 2000)(PAIA) right to access any information held by State or third party required for exercise or protection of any rights PROTECTION OF PERSONAL INFORMATION ACT (No 4 OF 2013) (POPI) Every individual is required to take adequate steps to protect his/her own personal information POPI holds institutions responsible if they abuse or compromise personal information in their possession. It covers the information of legal entities (data subjects) Sharing of your personal information requires your consent Has to be a valid reason for the type and reason for the information gathered Transparency and accountability on how the information is to be used and notification to owner of information if compromised. Provide owner of information access to it and the right to delete what is retained Limit and control access to the information held – required to track those accessing the information and prevent unauthorised access Required to safeguard the information against theft and compromise Ensure the integrity of the information at time of capture and that while stored it remains accurate.

  36. PROTECTION OF INFORMATION ACT (No 4 OF 2013) Section 1 Definitions Data Subject – the person to whom the personal information relates Person – natural or juristic Personal Information – broadly defined includes information relating to: race, gender, sexual orientation, marital status, age mental health, physical health, pregnancy, disability, religion, culture, language and birth; academic qualifications, employment history, criminal record, medical history, financial records, identifying number, telephone, address email address, biometric information, personal views and opinions, confidential correspondence, views about that person as expressed by another. Section 5 – The Rights of the Data Subject

  37. PROTECTION OF INFORMATION ACT (No 4 OF 2013) Section 6- Exclusions Processing of personal information in course of personal or household activity Where the information has been de-identified to the extent that it can no longer be re-identified (means that the information cannot be linked to a particular data subject) By a public body in matters dealing with national security, identification of the funding of terrorist related activity, defence or public safety; prevention, detection identification, investigation and prosecution of proceeds of unlawful activities including money laundering By Cabinet. Its committees and the Executive Council of the provinces Judicial functioning of a Court.

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  39. THE END

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