Conducting Investigations Manual


by: Dana Turner

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:
  • A mysterious cash disappearance from the vault;
  • When a department supervisor reports that an employee is drunk at work;
  • Negotiable documents that are missing from inventory;
  • When an employee fails to show up for work;
  • When a customer slips and falls in the branch lobby;
  • A couple of vehicles collide in the institution's parking lot -- and one of them was driven by an employee arriving for work;
  • Records showing that funds have been transferred from a general ledger account without appropriate authorization;
  • When an employee reports that his department manager has been harassing him;
  • When an employee reports that she is a victim of domestic violence and wants the institution to protect her; or
  • Property items that have been assigned to a specific location vanish from one audit to the next.
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.

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.

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.

Benefits and Features:
  • Expert guidance you can count on
  • You'll save valuable time with turnkey solutions to common issues
  • Easy-to-use templates help you create policies, procedures, forms, databases and training programs that are unique to your institution
  • Accompanying training materials help you effectively transfer this valuable guidance to your staff
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  • Model: SES-CONINV
  • Manufactured by: Security Education Systems

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This product was added to our catalog on Wednesday 07 April, 2004.

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