LESSON MANUSCRIPT

CASE PREPARATION

Introduction

Case preparation means that all reports, documents, and exhibits in a case are
organized in a logical sequence. At this stage the investigator collects the results of the entire
investigation and prepares the case folder and its synopsis for forwarding to the fiscal or
prosecutor. The folder contains “the body of the crime” and the identity of the person(s) with
the crime.

Case preparation involves a systematic organization of all the information, evidence and
documents related to a case. From the inception of the investigation, categories must be
designated for all information and materials involved in the case. Some examples are: the crime
scene, the follow-up of investigative leads, laboratory services and outside agency collaboration
and assistance, etc. by maintain the information and materials In these categories, it will be
easier to correlate and coordinate the coverage and progress in the case.

Experience indicates that it is easy to say, “No stone will be left unturned in this
investigation,” but it is extremely difficult to accomplish without a well-organized method of
handling paperwork. In major cases involving a series of crimes, whether they are murders,
robberies or major frauds, investigative leads, information, anonymous tips or even crank calls
can be lost in the shuffle,, without good administration. For this reason, many police
departments have initiated the “Major Investigation Task Force” concept. This concept involves
basic short-range, mid-range and long-range planning. This provides necessary personnel from
a skeleton staff to the full-fledged crew required for various types of major investigations

The names and specialized experience or talents of investigators, technical personnel,

supervisors and administrators are maintained in special files or in a computer. When a major
crime or series of crimes calls for task force action, a team of the desired specialty and size can
be put together promptly. For example, the assassination of the late Senator Robert F. Kennedy
required the formation of a special 40-person investigative unit. The unit was organized in
several categories including: (1) Administrative Section, charged with records and evidence
control; (2) Screening Section, charged with screening and correlation of all incoming
information, leads and documents including depositions; (3) Case Preparation Section, charged
with preparation of the case for trial, medical and personal background investigations of Sirhan
Sirhan and his family and investigations of conspiracy allegations; (4) Specialized Interviewing
Teams Section, charged with the interviews not specifically handled by other sections; (5)
Polygraph Section, charged with all polygraph examinations conducted during the investigation.

The unit was dramatically named Special Unit Senator (SUS) and was staffed by the
Chief of Detectives, a captain, three lieutenants, 32 investigators and three stenographers. The
variety of expertise represented by the staff included homicide, conspiracy, intelligence,
polygraph, foreign language, etc. the services of special prosecutors, psychiatrist and other
county, state and federal agencies were utilized regularly.

A case is considered adjudicated when it has been settled by a court. The conviction and
sentencing of a defendant in a case does not always mean that the case permanently closed,
however, if a prejudicial error or other injustice was suffered by the defendant during the trial
and the record so reflects, the case may be successfully appealed by the defense. If a case is
appealed it is not considered adjudicated until the appeal has been denied by the highest court
of jurisdiction. Because of the above factors, the investigator (particularly in major cases)
should clear with the prosecutor, before making a disposition of evidence that is in police
custody.

The Common Questions

Why prepare? – Case must be properly prepared to withstand the stress and strain of
the trial.
 Whose problems? – Soome officers think that this is just a problem of ther prosecutor
handling the case. But actually, it is as much a police problem because it is our duty to see that
the guilty are convicted and the innocent freed.

The Partnership – The investigating officer, who has lived with the case since its
inception, must render all assistance to the prosecutor who is responsible for the conduct of the
trial.

The Preparation Timetable:

o At the time of the complaint.

o During investigation.
o While awaiting actual trial.

At the Time of Complaint:

a) Investigator must know the basis for the authority to investigate the case. At this time the
officer should start the evaluation of his witnesses.

b) Must be familiar with specific violations. Must know how to decide whether facts reported
constitute a violation.

c) Statute of limitations. Especially true in series of embezzlement. Find out if earlier cases have
prescribed.

d) Check dates in chronology of events to ensure that statute of limitations will not bat
prosecutions.

During Investigation

a) Reasonable doubt and prosecutor. The prosecutor must prove beyond reasonable doubt
(moral certainty) that the accused committed the crime.

b) Reasonable doubt and defense counsel. The defense counsel does not have to prove
innocence, he must only convince the Court that reasonable doubt exist.

c) Reasonable doubt and the Court. Don’t forget that the Court hasn’t worked in the case as the
investigator has and therefore needs strong, convincing evidence to overcome a reasonable
doubt as to subject’s guilt.

d) Principal Rule of Evidence. The investigator must know the principal rules of evidence as to
apply in criminal cases. While he is not expected to have familiarity like the trial lawyer, he must
have a practical working knowledge of these rules.

o Competency and veracity of witnesses – An incompetent or untrustworthy witness can

ruin a prosecution. It may be necessary to get an expert to prove a particular point.
o Gather facts – Avoid opinions and conclusions. Stick to hard facts.
o Avoid hearsay – Most hearsay evidence cannot be used at trial. Find witnesses who have
personal knowledge of the facts. Use hearsay information only for getting leads as to
the identity of persons with personal knowledge.

e) Notes – Good and complete notes mean better testimony. Don’t have more than one
interview notes in the same paper.
f) Signed statements – Help keep witness in line at the time of the trial. Prevent false
testimony. May be used to refresh witness memory.
g) Charts and diagrams – Should be used whenever relevant and appropriate. It gives the
court the most complete picture possible at the time of the incidents including photos.
h) Identification and preservation of evidence:
 o Identification must be made at the time you found the evidence.
o Evidence must be kept at your headquarters. Don’t mingle it with other articles,
otherwise, it might be thrown out of the court.
i) Possible defenses:
o Instigation – Who had the criminal thought first?
o Statute of Limitations
o Alibi – Either prove or disprove the alibi
o Good character – Have information on this ready
o Double jeopardy – Bring this to the attention of the prosecutor so he can decide
o Insanity – If you think such defense will be raised, inform the prosecutor so he can
prepare for it
o Justification – See if facts intended to justify the act are true or not
o Provocation – Determine its presence in advance
o Mitigation
o Necessity
o Compulsion
o Duress – Best way to beat this, is NOT to commit duress (3 rd degree). Have other people
present to testify against it just in case.
o Intoxication – Determine feasibility of an examination by a competent doctor.

j) Preconceived notions – Don’t substitute such notions for admissible evidence which will
prove guilty. You may feel sure he is guilty but your feelings are not admissible at the trial.

While Awaiting Active Trial

a) Prepare prosecutive summary. Give prosecutor a complete picture of the case.This is done in
writing. The evidence is assembled and if there are loopholes, they show up.

b) Contents of prosecutive summary:

o Narrative of offense.
o Names of defendants.
o Date and place of crime.
o Statute of limitations.
o Other data helpful to prosecution.
o Preliminary prosecution action. Bond or bail.
o Identity of witnesses.
o Testimony expected.
o Criminal record.

c) Conference with prosecutor. Tell the prosecutor the weak points of the case as well as the
strong ones in order to give him opportunity to prepare for it.

d) Review your testimony. Have a dry run if necessary.

e) Documentary and physical evidence. Locate all documentary and physical evidence and be
sure that they are properly preserved.

f) Last minute leads. Give them to the prosecutor and investigate.

g) Background of defendant. Check B1 reports.

h) Review notes. Go over notes for errors.

The Investigator Must Consider the Following in Concluding

a) Law enforcement officers are responsible for facts.

b) Brilliant investigator but poor preparation. You may lose the case.
c) Impression in the courtroom and publicly. The prosecutor and the judge can easily tell
whether or not the investigating officer has properly prepared his case for the trial.

d) The public relations angle. The police organization as well as the individual officer will be
shown in a poor light should a suspect obviously guilty go free because the case was improperly
prepared.

Case Preparation

Prior to Presentation to the Prosecutor

The investigator first prepares a synopsis (review) of all the pertinent information,
evidence, documents and exhibits in the case. The synopsis must include all material which
establishes the existence of the corpus delicti and the identity of the person or persons to be
charged. It will also include a list of witnesses and exhibits, with a brief summary of the facts
and identifications each witness (including investigators) can testify to. Additionally, the
synopsis will contain any allegations of innocence expected from the defense. These allegations
may be in the form of alibi witnesses, lack of intent, insanity, mistaken identity, self-defense or
accident.

Seizure of Evidence and Voluntariness of Statements

The synopsis will include a brief statement of fact relating to each item of evidence
setting forth the exact circumstances under which all evidence were seized in order to evaluate
their admissibility in court. The nature of circumstances under which admissions or confessions
were obtained must also be stated, so that the voluntariness of the statements may be
evaluated by the prosecutor.

Witness Information

The synopsis will include any negative information concerning any witnesses. This would
include criminal records, physical or emotional instabilities, handicaps or any factor that could
affect the witnesses’ performance in the courtroom. The investigator should also include
information on those witnesses that will require review of their testimony before trial. In some
sensitive or complicated cases the prosecutor may review testimony with all witnesses including
investigators, laboratory personnel, psychiatrist, etc., before trial. All information regarding
potential or actual hostile prosecution witnesses must be included in the synopsis.

Special Considerations

On occasion the investigator may learn of defense strategy plans that are of prime
importance for the prosecutor to know. For example, it is not uncommon for the defense
counsel in major case to acquire personal information regarding the prosecutor of the judge
that are expected to be involved in the case. Information that the prosecutor or the judge is
short-tempered or is offended by defense counsels who engage in theatrics or badger
witnesses, can be used advantageously by the defense. Defense attorney sometimes capitalize
on certain characteristics of the prosecutor or the judge, via their general deportment or
method of cross-examination of witnesses. This maneuver can reach the point where the
prosecutor and the judge are both angry at defense counsel and can culminate with the judge
overruling a proper defense motion. This will provide the defense with a prejudicial error on
which to base an appeal, in the event of the defendant is convicted.

Preparing the Case Folder for the Prosecutor

The completed synopsis and copies of all official reports and statements referred to
therein are placed in a case folder for the prosecutor. The folder will include the reports on all
evidence mentioned, its examination, its location (official custody) and its availability to the
prosecutor and the court. The prosecutor may represent either a city, country, state or federal
government depending on the specified crime and jurisdiction involved.
 The prosecutor may file a complaint charging the suspect(s) with a specific offense(s) if,
in his or her position, the charges are substantiated. He or she may also deny the complaint for
reasons of insufficient evidence or may request further investigation of the case by the
investigator or the prosecutor’s office. It is not uncommon in many jurisdictions for felony cases
to be referred by district (county) attorney’s offices to city attorney’s offices, for reduction to
misdemeanor. In the final analysis, when a prosecutor files a complaint, the respective court in
that jurisdiction will issue a warrant of arrest for the suspect.

Presentation of the Case

In highly sensitive and other selected felony cases, the prosecutor may proceed by
grand jury indictment, instead of the complaint process. Some examples of the kinds of
circumstances which may cause the prosecutor to utilize this procedure are as follows:

o Statute of Limitations

The statute of limitations may be running out on a case and the suspect(s) is not in
custody. This means that criminal action via the courts against the suspect has not been
initiated. The statute of limitations is the time within which the suspect must be charged and it
is computed from the date of the commission of the crime or the date the crime is discovered.

If at the time of, or after a crime is committed, the suspect is out of the area within
which the crime was committed, the statute of limitations does not start until the suspect enters
the state where the crime was committed. If a jurisdiction fails to initiate criminal action within
the limitation of the time for the particular crime involved, the statute of limitations will have
run out on that crime and the suspect is free from prosecution.

o Reluctant Victims or Witnesses

The case may involve reluctant victims or witnesses in, for example, a rape, homicide or
organized crime situation, where threats of violence have been made against them. The grand
jury hearing can be held in secret in such cases, thus protecting and reassuring the reluctant
participants.

o Frauds of Public Officials

Rather than file a complaint, the prosecuting attorney may seek a grand jury indictment
in a highly involved fraud cases, where the prosecution desires to eliminate the exposure of
victims and witnesses to media publicity or cross-examination by the defense. In cases where
police officers or other public officials are suspected of criminal acts, the prosecuting attorney is
likely to present the matter to the grand jury.

o Specialized Investigators Other Than Police

The specialized investigators that are normally not a part of many police agencies may
be members of the investigative staff of the prosecutor, or other public and private agencies.
Some examples of the expertise that is available and which may be required are as follows: (1)
major fraud specialists (i.e., stocks, bonds, corporations, computer frauds); (2) tax specialists;
(3) consumer fraud specialists (i.e., autob=mobile and television repair, false advertising); (4)
psychiatrists, psychologists, physicians and other scientific expertise needed to investigate and
refute defense contentions relative to mental state, insanity or accidental causes of death in
homicide cases.

o Pretrial Discovery

An important consideration during the investigation and case preparation, are the
pretrial discovery rules in many jurisdictions. The defense may make a certain motion in court
to require the police or the prosecutor to produce certain items of evidence against the accused
or a list of witnesses. If the court grants the motion, it will order the prosecutor to produce the
evidence. A motion for discovery may, of course, be denied by the court when there is evidence
indicating that granting the motion will create an imbalance in favour of the accused, or pose a
serious threat to the life of a witness. For example, the accused may request the names and
addresses of all witnesses, a copy of their statements to the police and the right to interview
them without police interference. If the life of an eyewitness to the crime would be endangered
by the process, the court may deny access to the witness and grant only the testimony
expected from that witness.

o Plea Bargaining

Plea bargaining involved negotiation between the prosecutor and the defense counsel.
By means of this negotiation, an agreement is reached whereby the defendant is allowed to
withdraw a plea of innocence for the purpose of entering a plea of guilt. The fact that the
agreement is always to the advantage of the defendant, accounts in part, for the popularity and
broad use of this procedure by defense counsels. Many prosecutors, particularly in large
jurisdictions, who have overcrowded court calendars, understaffed offices, and budget problems
are willing participants, as well.

A basic example that occurs regularly is as follows: the defendant is charged with five
counts (separate crimes) of robbery or burglary. The prosecution has a well-prepared case that
will likely result in verdict of “guilty on all accounts” by the judge or jury. The defense counsel
will normally (in keeping with the best interests of his client) advise the defendant that he will
most probably be convicted on all charges. He will ask the defendant’s permission to plea
bargain with the prosecutor, that is, enter a plea of guilt to one count and request dismissal of
the remaining four counts “in the interest of justice.” If the defendant agrees and the defense
counsel and the prosecutor come to the same terms, the court is notified and asked for its
concurrence. The court can reject the agreement, but will normally not do so unless the plea of
guilt violates the defendant’s right in some way.

Defendants are frequently willing to plead guilty to a lesser included offense such as
theft rather than robbery. This eliminates the need for a lengthy trial and usually results in
lighter sentence; thus relieving the overcrowded prison system to some degree. Regardless of
the savings in time and money, many people are opposed to plea bargaining. Alaska, in 1975,
for example, banned plea bargaining. The California Supreme Court has generally upheld the
constitutionality of a voter-approved initiative which practically eliminates plea bargaining.

Some critics of the process claim that the prosecutor’s prime reason for participating in
plea bargaining is that it offers a high conviction record he or she can talk about at election
time. Some investigators resent the practice, particularly when the prosecutor does not show
the courtesy of consulting with them before making an agreement with the defense. The
criticism notwithstanding, plea bargaining does provide the defense counsel with a method of
insuring his client the best legal defense possible. He would be remiss in his duties if he did not
make every legal effort to gain advantage for his client.

The Written Statements and Confessions

Criminal investigation requires the interviewing of victims and witnesses and the
interrogation of suspects. Although the recording of all pertinent information via note-taking is a
standard practice by investigators, the taking of written statements and confessions is also
required. Care must be exercised in this process to insure the validity of all information obtained
and preserved its evidentiary value. This admonition is of particular importance in regard to
admissions and confessions because the constitutional rights of the accused and directly at
stake.
Preparation of Sworn Statement

o Reducing Statements to Writing

Whenever possible, important statements of witnesses and suspects should be reduced

to writing. Specifically, written statements should be taken from:
 a. Subjects and suspects.
b. Recalcitrant or reluctant witnesses.
c. Key witnesses.
d. Any witness who gives an indication of a tendency to change his mind.
e. Witnesses who will not be available at legal proceedings.

o Content of the Statement

A lengthy interrogation will develop much information that is unnecessary in the sense
of being irrelevant or immaterial. When the subject finally consents to make a written
statement, the investigator must then decide what information he wishes to be included in the
statement. The exercise of good judgement at this point is important since the subject may
subsequently refuse to make an additional statement to remedy any deficiencies in the first.

a. Witnesses. In taking a statement from a witness, the investigator should consider

what information the witness may possess and expected to give in testimony and what
information is needed to support the case. The common ground of these two considerations
should form the substance of the statement.

b. Suspects. The statement of a suspect should substantiate the elements of the charge
or contain any information pertinent to the issues of the case. In addition, the statement should
include any details of extenuating circumstances or explanations offered by the suspect. Finally,
the investigators should apply to the statement, the criteria applicable in judging a report of
investigation. The purposes of such a report are:
1) Provision of a permanent record of information.
2) Presentation of clear, direct, complete and accurate communication.
3) Presentation of information that can form the basis of charges and specifications.
4) Provision of information that can form the basis of additional investigations.

o Methods of Taking Statements

Although there should be no delay in reducing a confession to writing, the investigator

should not interrupt the suspect once he has launched himself into a freely flowing recital. At
this point, the suspect, although quite willing to speak of his participation in the crime, may be
psychologically unprepared to commit his words to the formality of writing. At no time should
the investigator weaken his position by appearing excessively eager to put the confession in
writing. He should expedite the procedure by having the date lien and introductory matter of
the statement prepared in advance. The methods which he will employ in reducing the
statement to writing will depend on the intelligence and temperament of the suspect; the
amount and nature of the information to be recorded; and the availability of stenographic
services.

The following are some of the methods that may be employed which are applicable to
statements in general:

a. The subject may write his own statement without guidance. A statement of this nature,
which is sufficiently comprehensive, is the more desirable form.

b. The subject may dictate to a stenographer without guidance.

c. The investigator may give the best subject a list of the essential points to be covered in the
statement and suggest that he includes these matters and add whatever other pertinent
information he may wish.

d. The subject may deliver his statement orally in his own way to the investigator, who writes
the statement.

e. The subject may deliver his statement orally to the investigator or a stenographer in
response to questions put to him by the investigator. The responses are recorded verbatim.
f. The investigator may assist the subject by suggesting words and locations which will express
the subject’s intended meanings. Naturally, great caution must be exercised by the investigator
to protect himself from a charge of influencing the subject. A tape recording is useful.

g. The investigator may prepare the statement by writing his version of the formation given by
the suspect. He should try to use expressions employed by the suspect and submit the
statement to him for corrections and changes.

o Forming Statements

Although different law enforcement agencies employ varying formats, the following
outline of a statement can be found to many of them and are generally satisfactory.

a. Identify Data. The first paragraph of a statement should contain the date, place
identification of the maker, the name of the person to whom the statement is made, and a
declaration by the maker that the statement is being made voluntarily, with any necessary
waivers.

b. The Body of the Statement. The body of the statement can be in expository or
narrative form. It is of great important, particularly in a confession, that the statement should
include all the elements of the crime and the facts associating the subject to other elements.
The words of the subject should be used, but the scope of the confession should be guided by
the investigator. The investigator may write the statement himself to insure the inclusion of all
the necessary details. The subject should afterwards be requested to review the statement and
sign each page at the bottom. In order to establish more firmly the fact that the subject read
the statement, it must include errors committed of whatever nature-and request the subject to
correct said errors and to initial the corrections effected. Each page should be numbered in the
lower right corner: “Page – of – Page.”

c. Conclusion. The concluding paragraph should state that the subject has read the
document specifying the number of pages, and that he had affixed his signature on it. The
subject should then be rejected to sign the statement on every page and initial corrections as
requested.

o Witnesses to a Confession

The presence of witnesses will provide a defense in rebutting claims the duress in the
form of threats or promises was employed by the investigator. After the investigator had
prepared the statement for signature the witnesses may be introduced so that they can later
testify to the following:

a. That the subject have read and revised the entire statement with the investigator.

b. That the subject objected to certain words, phrases, or statements.

c. That he corrected certain words and phrases and initialled the corrections.

d. That he evidently understood the contents of the confession.

e. That he was in his right senses, knew what he was doing, and acted voluntarily.

f. That he acknowledged the statement to be true and correct.

Each person witnessing the signature should sign as a witness. The signatures should
show their names and addresses. If the witness is a member of law enforcement agency, his
signature should be accompanied by his grade, title and assignment.

o Swearing Into the Statement

 If it is desired to have the subject sworn to the statement, all persons should stand. The
investigator should instruct the subject to raise his right hand. The investigator should also raise
his right hand and proceed to recite the oath. Although there is no fixed form for the oath, the
following can be adopted:

“Do you (state the subject) solemnly swear that the statement which you have made
and to which you are about to affix your signature is the truth, the whole truth, and nothing but
the truth? So help you, God.”

o Investigation Subsequent to the Confession

At the conclusion of a successful interrogation, the investigator, although he is in

possession of a written confession, should not yield to a feeling of complacency. The
investigation should not be considered complete until the confession has been critically
reviewed in relation to the charge. The following points should be considered:

a. On the information available, can it be said that the elements of proof have been
established?

b. What substantiating evidence is needed to sustain the facts in the statement or which
have been developed in the interrogation?

c. Is there sufficient evidence, independent of the confession, which can be presented in

court to show that the offense charged has probably been committed by someone? The
significance of this question lies in the fact that, normally, an accused cannot be convicted upon
his confession or admission unless his statement is substantiated by other evidence. Moreover,
the court may not consider the confession as evidence against the defendant unless there is in
the record of trial other evidence, either direct or circumstantial, that the crime charged has
probably been committed. Additional confessions by the accused cannot be used to corroborate
information found in any one of the confessions.

Guidelines in Preparing Written Statements and Confessions

Following a “standard” format is very helpful in assuring that a logical sequence is

followed and that critical steps are not omitted.

Purpose of Written Statements

o To provide a written record of all pertinent information;

o To provide a written statement with which to refresh the memory of witnesses and to
curtail attempts to change testimony at a later date; and
o To provide both the prosecution and defense with the testimony that may be expected
at the trial.

Suggested Format for Written Statements

o The Heading

The heading should include the date, time and location where the statement was made.
It should also include a complete identification of the person(s) making the statements, and any
other persons present.

o The Body

It is important to realize that a statement may be taken in any form that suits the
occasion. The acceptability of the statement as evidence in a court of law is not affected by its
form. The statement may be either oral, written in question-and-answer form, totally narrative,
or a combination of any of these.

o Phraseology
 The phraseology of the statement must reflect that of the person who is making it (i.e.,
intelligence, colloquial expressions, profanity, self-serving comments, half-truths, omissions,
lies, etc.) If the statement is completely, or more than half, a narrative telling of events and
circumstances by the person making it, maintaining the phraseology of the maker is no
problem. However, if it is totally, or more than half, a question-and-answer statement, care
must be taken to avoid questions that call for yes or no answers. Questions should be framed in
a manner that encourages narrative answers by the suspect, such as, “What did you do then?”

o Chronological Order

The interrogator must guide the person making the statement using questions or
prompting remarks to cover all the pertinent activities related to the crime in an chronological
(time sequence) order.

o Corpus Delicti

The interrogator must be intimately familiar with all the elements of the crime under
investigation and the manner and degree of proof required for each. It is imperative that all the
above elements, the corpus delicti, be included in the statement. This may at times require
guiding the person making the statement back to a given point in it, or into a review of certain
portions of it, to assure the desired coverage. In the end, the interrogator must recall the
aforementioned admonition, namely, that some persons may be incapable of making a
complete statement for any number of reasons. It is better to settle for part of the facts than
none at all.

o Methods of Note-taking

Sometimes the person making the statement will request to write it out or dictate it to a
stenographer or tape recorder. Either of these methods has an advantage as to the weight
(credibility) the statement will be given in court. A statement in the maker’s own handwriting
would be difficult to refute, as would his or her dictation or voice on a tape. However, there are
basic disadvantages inherent in these methods. The person making the statement may omit the
elements of the crime and other pertinent details, include extraneous or irrelevant matter, and
fail to maintain a chronological order in covering various events.

Normally, interrogators prefer to take statements in a combination of question-and-

answer and narrative style. The statements may be written down by the interrogator, taken by
a stenographer, or recorded by electronic tape, videotape, or motion picture.

o Reviewing the Statement

When the statement has been completed and recorded in one manner or another and is
ready for signature, it must be reviewed with the maker. The person making the statement
must read the complete text; or, if illiterate, it must be read to him or her. The maker must be
allowed to make and initial any corrections or deletions he or she desires and to number and
initial each page of the statement as a protection against deletion or addition of pages. If the
statement is an admission or confession, one or more witnesses besides the interrogator should
be present when the statement is reviewed.

o End of Statement Paragraph

When the statement has been reviewed and corrected, the interrogator should add a
concluding paragraph. This paragraph should state that the maker has read (or has had read to
him or her) the entire consisting of x-number of pages, and that he or she has initialled all
corrections, additions, deletions and pages.

In the case where the statement is an admission or confession, the concluding

paragraph must also state that the suspect made the statement freely, voluntarily, without
coercion, and without promises or hope of reward.

o Signing the Statement

 The maker should sign the statement just below the last paragraph, in the presence of
the interrogator and witnesses, if possible. The interrogator should then sign the statement as a
witness, as would anyone else acting as a witness.

The Dying Declarations

There are times when an investigator will be required to take a statement from a dying
victim in a homicide case. Such statement is commonly known as a dying declaration, and is
admissible in court as evidence against an accused if the statement is based on the victim’s
personal knowledge, and is made under a belief of immediate, impending death. Therefore, the
victim must know the circumstances under which he or she received the injury, and must be
convinced that he or she is dying from it. The courts permits an investigator or person who
hears the dying declaration to testify to such a statement (this is an exception to the “hearsay
rule”), because it is believed that a person who knows that death is near will not lie.

It is imperative that the investigator fashion any questions asked of the dying victim in a
manner that will require answers or physical acts from which it can be concluded that the dying
victim knows the circumstances of the injury and truly believes he or she is then dying.

It is obvious that the detailed who, what, where, when, how, and why of the
circumstances may, in many instances, be impossible to obtain from a dying victim. The
investigator may have to settle for limited responses to the basic questions: “Do you believe
you are dying now?” Answer: “Yes” “What happened to you?” Answer: “Beauregard
Throckmorton shot me.”

If the victim does not die, his or her dying declaration can not be testified to by the
investigator; it is inadmissible hearsay. In future court proceedings, the victim must testify
personally as to any injury inflicted by the accused.

Complaints and Information

General Rules And Principles Regarding Prosecution of Offenses

As a crime in an offense against the State of the People of the Philippines, all criminal
prosecutions must be filed in the name of the People of the Philippines. The accused is the
person who appears according to the findings of the fiscals, responsible for the commission of
the crime.

Criminal actions must be commenced either by complaint or information (Sec. 1, Rule

110). The complaint is a sworn statement charging a person with an offense, subscribed by the
offended party, any peace officer or other employee of the government in charge of the
enforcement of the law violated (Sec.2, Rule 110).an information is an accusation in writing
charging a person with an offense subscribed by the fiscal and filed with the court (Sec. 3, Rule
110). There are felonies which must be prosecuted upon complaint of the offended party, like
adultery, concubinage, seduction, abduction, acts of lasciviousness and some forms of
defamation.

All criminal actions either commenced by complaint or by information shall be

prosecuted under the direction and control of the fiscal (Sec. 4, Rule 110). The prosecution of
offenses is a matter of public interest and it is the duty of government to prosecute all cases to
their termination without capricious, oppressive and vexatious delay. The offended party may
intervene in the prosecution of the offense unless he has waived the civil action or reserved his
right to institute it. The intervention is, however subjected to the control and supervision of the
fiscal.

A complaint or information is sufficient if it states the name of the defendants; the

designation of the offense by the state; the acts or omissions complained of as constituting the
offense; the name of the offended party; the approximate time of the commission of the
offense; and the place wherein the offense was committed. When an offense is committed by
more than one person, all of them shall be included in the complaint or information (Sec. 5,
Rule 110).

The information should state the facts and the circumstances constituting the crime
charged in such a way that a person of common understanding may easily comprehend and be
informed of what it is about. One of the purposes of every information is to notify the
defendant of the criminal acts imputed to him so that he can prepare his defense. Any
ambiguity in an information should be resolved in favour of the accused. Before the trial, the
accused may move for a bill of specification or particulars to clarify any ambiguities.

A complaint or information must state the name and surname of the defendant or any
appellation or nickname by which he has been or is unknown, or if his name cannot be
discovered he must be described under a fictitious name with a statement that his true name is
unknown. If in the course of the proceeding the true name of the defendant is disclosed by
him, or appears in some other manner to the court, the court shall cause the true name of the
defendant to be inserted in complaint or information (Sec 6, Rule 110).

If the name of the accused is unknown, he will be charged as “John Doe” and if there
are more than one accused, the other accused shall be mentioned as “Richard Doe,” etc. Errors
in spelling of the name of the accused must be raised or arraignment. Failing to do so, the
accused is stopped from raising the question later.

Whenever possible, a complaint or information should state the designation given to the
offense by the statute, besides the statement of the acts or omissions constituting the same,
and if there is no such designation, reference should be made to the section or subsection of
the statute punishing it (Sec. 7, Rule 110).

The acts or omissions complained of constituting the offense must be stated in ordinary
and concise language without repetition, not necessarily in the terms of the statute defining the
offense, but in such form as is sufficient to enable a person of common understanding to know
what offense is intended to be charged, and enable the court to pronounce proper judgment
(Sec. 8, Rule 110).

It is but proper that the accused should be fully apprised of the true charge against him
and thus avoid any possible surprise in as much as in a criminal case not only the liberty but the
life of the accused may be at stake. It is not the title however in the information that controls
but the facts recited in the information.

In a prosecution for libel, the offensive expression must be set out verbatim. When the
article is lengthy and contains matters that are both libellous and non-libelous, the libellous
matters must be singled out and the prosecution based therein. An information for perjury
should state the substance of the controversy upon which the false oath was taken, specify the
court of officer by whom the false oath was administered, and allege that such court or officer
had authority to administer the oath, together with an allegation of the false statements.

The complaint or information is sufficient if it can be understood therefrom that the

offense was committed or some of the essential ingredients thereof occurred at some place
within the jurisdiction of the court, unless the particular place wherein it was committed
constitutes an essential element of the offense or is necessary for identifying the offense
charged.

In theft, the crime is consummated upon the taking of the object and if a car is stolen in
Manila and is later found abandoned in Pasay, the commission of the crime is in Manila. The
finding of the car in Pasay is not an essential ingredient of the crime but a mere circumstance
which could add nothing to the nature of the offense or its consummation.

It is not necessary to state in the complaint or information the precise time at which the
offense was committed except when time is a material ingredient of the offense, but the act
may be alleged to have been committed at any time as near to the actual date at which the
offense was committed as the information or complaint will permit (Sec. 10, entered of record
but a failure to so enter it shall not affect Rule 106). Usually, the fiscal alleged that the crime
was committed “on or about” a certain period. The word “about” is a very comprehensive term
which when used with regard to time, may cover a considerable extent thereof.

A complaint or information must charge but one offense, except only in those cases in
which existing laws prescribe a single punishment for various offenses (Sec. 12, Rule
110).Under Art. 48 of the Revised Penal Code, a single penalty is imposed in cases of complex
crimes. Likewise, the Revised Penal Code fixes a single penalty for cases of robbery with
homicide and robbery with rape.

When falsification is committed to cover up an estafa, arson to hide a homicide, or

murder to silence the victim of rape, two separate information must be filed against the
accused.

The information or complaint may be amended, in substance or form, without leave of

court, at any time before the defendant pleads; and thereafter and during the trial as to all
matters of form, by leave and at the discretion of the court, when the same can be done
without prejudice to the rights of the defendant.

If it appears at any time before judgment that a mistake has been made in charging the
proper offense, the court may dismiss the original complaint or information and order the filing
of a new one charging the proper offense, provided the defendant would not be placed thereby
in double jeopardy and may also require the witnesses to give bail to their appearance at the
trial (Sec. 13, Rule 110).

A motion to quash shall be in writing and signed by the defendant or his attorney. It
shall specify distinctly the ground of objection relied on and the court shall hear no objection
other than that stated in the motion. It shall be the validity of any proceeding in the case (Sec.
3, Rule 117). The motion to quash shall be heard immediately on its hearing. All issues,
whether of law or fact, which arise on a motion to quash shall be tried by the court (Sec. 6,
Rule 117). If the motion to quash is based on an alleged defect in the complaint or information
which can be cured by amendment, the court shall order the amendment to be made and shall
overrule the motion (Sec. 2, Rule 117).

A judgment in a criminal case means the adjudication by the court that defendant is
guilty or is not guilty of the offense charged and the imposition of the penalty provided for by
the law on the defendant who pleads or is found guilty thereof (Sec. 1, Rule 117). If the trial
court acquits the accused, it may censure him if such is pertinent to the issue. The judgment
must be written in the official language, personally and directly prepared by the judge and
signed by him and shall contain clearly and distinctly a statement of the facts proved or
admitted by the defendant and upon which the judgment is based. If it is of the conviction the
judgment or sentence shall state (a) the legal qualification of the offense constituted by the
acts committed by the defendant, and the aggravating or mitigating circumstances attending
the commission thereof, if there is any; (b) the participation of the defendant in the commission
of the offense, whether as principal, accomplice, or accessory after the fact; (c) the penalty
imposed upon the defendant; and (d) the civil liability or damages cause by the wrongful act to
be recovered from the defendant by the offended party, if there is any (Sec. 2, Rule 120).

At any time before a judgment of conviction becomes final, the court may on motion of
the defendant, or on its own motion with the consent of the defendant, grant a new trial (Sec.
1, Rule 121) After the perfection of an appeal, the trial court loses its jurisdiction over the case
and has no longer any power to set aside the judgment.

The court shall grant a new trial on any of the following ground:

(a) That errors of law or irregularities have been committed during the trial prejudicial to the
substantial rights of the defendant;

(b) That new and material evidence has been discovered which the defendant could not with
reasonable diligence have discovered and produced at the tria, and which if introduced and
admitted, would probably change the judgment (Sec. 2, Rule 121).
 The motion for a new trial shall be in writing and filed with the court. It shall state the
grounds on which it is based. ¡f it is based on newly discovered evidence, It must be supported
by the affidavits of the witness by whom such evidence is expected to be given, or by duly
authenticated copies of documents which it is proposed to introduce in evidence. Notice of the
motion shall be given to the fiscal (Sec. 3, Rule 131).

Where a motion for a new trial calls for the decision of any question of fact the court
may hear evidence of such motion by affidavits or otherwise (Sec. 4, 121).

From all final judgments of the Court of First Instance or courts or similar jurisdiction,
and in all cases in which the law provides for appeals from said courts, an appeal may be taken
to the Court of Appeals or to the Supreme Court as hereinafter prescribed (Sec. 1,122).

An appeal shall be taken by filing with the court in which the judgment or order was
rendered a notice stating the appeal, and by serving a copy thereof upon the adverse party or
his attorney (Sec. 3, Rule 122).

Complaint Recording and Processing

The basic police records and communications process involves:

o Receipt by police, of the report of an accident by a citizen requesting services.

o Recording the complaint, and initiating the control process which later ensures a match-
up of the officer’s report with the complaint reported by the citizen.
o Dispatching the complaint to an officer in the field.
o Handling the event by the officer and writing the officer’s report.
o Processing the report, including matching with the complainant’s initial information,
indexing, and distribution.
o Use of information as appropriate.
o Storage of reports for subsequent later use.

The Police Case. What constitutes a police case is difficult to define. Generally speaking, a
police case ought to be recorded as such if there has been a violation of law which is capable of
being investigated, or if a citizen requests police services, which an officer is dispatched to
provide.

Ordinarily, a call which is merely a request for information, or the reporting of a traffic
violation or traffic-enforcement action, is not considered a police case. At times, the personnel
of a department may include administrative calls appearing on a radio log as a part of the
legitimate police work load. An entry in an annual report labeled “Police Calls” or “Radio Calls”
should be viewed with suspicion unless what goes into the title is defined or clarified. Reporting
the number of times an officer goes in or out of service, or some other administrative matters
as a part of police work load, is a disservice to the taxpayer.

Complaint or Case Control

The initial information received from i citizen should be recorded on a form which
primarily used as a control, and not as a source of information that is valuable for investigative
purposes. The complaint or case sheet or card (also called a face sheet, face card, or control
card) is the first step in the development of a complete police-case report, and is usually the
first document in a police investigation

The complaint-control form should be brief, and should contain essential information
such as (1) the complainant’s name, address, and telephone number; (2) the location of the
incident; (3) the nature of the incident; (4) a complaint number; (5) space for a reporting area;
(6) the provision for making disposition of the incident by the complaint officer or dispatcher;
(7) the officer or unit assigned; and (8) space for recording various times which are essential:
The time the call was received, time of dispatch, time of the arrival at the scene, and time of
http://bitly.com/OPPOSarahGhttp://bitly.com/OPPOSarahGreturn to service.
 At this point, in some systems in which computers are utilized, complaint control-card
information is keyed in to assist in dispatching. Several systems now in use are based on
determination of previous activity at a given address, status of residents, and selection of the
nearest available beat officer for assignment to the case.

Field Reporting

Few people realize the extent to which police work is related to the use of language and
verbal or written communication. Almost everything that a police officer does must be reduced
to writing. What is written is often the determining factor in whether a suspect is arrested in the
first place, and if he is arrested, whether he is convicted and sentenced. The contents of written
reports, in fact, often have great bearing in life-and-death situations. To say that officers need
to be proficient in report writing is an understatement.

The ideal report-writing system would make it possible for patrol officers and
investigators to produce reports rapidly and accurately, with review possible before the final
form is placed into the records system. The report-writing system should minimize grammatical
and typographical errors yet should not require typing. The solution to the problem of finding
the ideal system may not he found for many years. Until the ideal method appears, however,
certain sound concepts may he applied. The basic report-writing systems now in use are
categorized as follows:

o Dictation by the patrol officer or investigator, either through a stenographer,

dictating machine, or handwritten notes, resulting in a typewritten report which can
then be reproduced by various means
o Direct typing by the officer or investigator
o Handwritten or handprinted report writing

In any of these systems, reports can be reproduced for distribution through the use of
form sets with carbon copies, or through multilith or electrostatic methods.

Each of these systems has its advantages and disadvantages. The disadvantage of the
dictation system is that it introduces delay caused by the wait for typing, close attention to
mechanics required by the dictator and stenographer, and the absence of an immediate copy
available for supervisory review. Another disadvantage is the difficulty in conveying proper
spelling and format for use in form reports. Advantages of the dictation system are greater
legibility of reports and speed in terms of the officer’s time, particularly with reports more than
one page in length.

The disadvantage in having officers type their own reports is their lack of typing skill.
The Berkeley Police Department used this method for many years, but few officers could ever
achieve more than 30 words per minute in typing speed. Moreover, the burden of typing
reports in extensive cases is considerable.

The advantage of the handprinted report-writing method is that it results in quick

production of a report which can be reviewed immediately by a supervisor. The technique is
slower on long reports, and requires quality control in terms of legibility and neatness.

The number of report forms should be limited. 1f a different form is used for every
conceivable kind of incident, the quality of report-writing will suffer. Most large departments can
do very well with four or five field-report forms, such as miscellaneous-incident report, crime-
against-person report, crime-against-property report, and missing-person report.

Several auxiliary report forms are generally found to be essential: a supplement-report

form, which is also used as a continuation sheet for other reports; an arrest report, which
should be used for all custody arrests and for some simple arrests as the only report submitted
(such as on-view arrests for drunkenness, disorderly conduct, and similar offenses: a property
report, which should be the formal means of reporting evidence or property taken into police
custody; and a prosecution report, which is invaluable in summarizing the elements of a case
which are required for successful prosecution.
 The system based on typewritten or handprinted reports by the beat officer or
investigator permits immediate review by supervisors. The advantages of the review at this
point are great, since it permits the supervisor to evaluate the work of his subordinates - at
least as it is recorded on paper - and permits correction of errors on the report.

The Incidents That Should Be Recorded in Summarized Form.

If police records are to fulfill the purposes that have been described, all occurrences in
the following categories must be recorded.

o Violations state laws and city ordinances reported by citizens or other agencies or
discovered by the police in any other way. Exceptions are made of city-ordinance
violations which are observed by the police (not reported to them), in which action
consists only in a warning which is accepted without protest.
o Calls on which officers are dispatched, except those that (a) are merely requests for
information, (b) are handled by a special service report, and (c) result from traffic
violations not endangering life or property.
o Warrants and subpoenas and arrests not disposed of by citation.
o Lost and found persons, animals, and property.
o Reportable automobile accidents; reports of personal injuries, bodies found, suicidal
attempts, damage to public property, and mental cases.
o Cases in which a police officer is involved in any way in the damage of public or private
property or the injury of any person or animal.
o Miscellaneous cases, general and special orders, violations of rules and regulations and
any other incident that a commanding officer desires to have recorded.

Classification of Incidents. The incidents just listed should be classified into logical
groups so that their volume and character can be ascertained; in the absence of classification,
police records would be virtually useless for administrative purposes, since it would be
impossible to make meaningful tabulations of their contents.

The following four - part classification is recommended:

Parts I and II include the offenses originally so classified by the Uniform Crime
Reporting System of the Federal Bureau of Investigation.

Part III includes all reports of lost-and-found persons, animals, and property.

Part IV incidents are casualties involving the sick, injured, and dead; included as all
traffic accidents, suicides, bodies found, sick cared for, and mental cases.

Part V cases should include miscellaneous, noncriminal incidents and other

miscellaneous services not mentioned under Parts III and IV.

Dissemination of Information and Chronological Record . Policemen, to work

effectively, must be (1) notified of cases to which they are assigned and furnished with a brief
resume of essential facts; (2) informed of crimes; other incidents calling for police action,
persons wanted and arrested, property stolen, lost and recovered, administrative order, and
other information; and (3) provided with a chronological record of incidents calling for police
action, which assists in ascertaining the case number when information is so meager to make
an index search impractical. The chronological record also establishes the identity and general
character of any case that may have become lost or mi s-filed.

In departments fewer than 200 officers, these three needs may be met by a typed
bulletin, made out continuously as complaint sheets are prepared, in sufficient number so that
one can be given to each division, the original being sent to the records officer for permanent
filing. A copy of the typed daily bulletin may be continuously furnished each division office by
teletype.

In large departments a printed bulletin becomes desirable when (1) the number of
copies needed is more than can be struck off at a single typing; (2) the bulletin becomes long
and contains too much material of a general character of no interest to some special divisions;
(3) the force becomes so large as to make it inconvenient for all members to have limited
number of typed copies read to them; (4) a substantial part of the personnel does not report at
headquarters for roll call; or (%) the force is decentralized among district stations.

When a printed bulletin is used, a separate chronological record of cases should be

made for records-office reference purposes. Also, under these circumstances provision must be
made for listing a resume of cases and the officers assigned to each (1) on a separate typed
sheet for each division and each district station or (2) by separate assignment slips to each
officer concerned.

When to Terminate an Investigation

It is obvious that in a case involving a crime that has no statute of limitations, such as
murder, the investigation will remain open until it has been solved and the guilty person is
charged with the offense and brought within the jurisdiction of the appropriate court. Many
police agencies terminate an investigation when the case is classified as “cleared”. The reasons
for classifying cases as cleared are varied and not as yet uniformly practiced. Case clearance
policies are set for individual police agencies by their respective administrators.

Some of the reasons for classifying cases as cleared are as follows: (1) case is solved,
suspect is arrested and charged; (2) case is solved, suspect is arrested in another state and
extradition of the suspect has failed or is considered infeasible by the prosecutor; (3) case is
solved, the victim refuses to prosecute; (4) case is unfounded by investigation or (5) case is
solved and suspect is dead.

It is important to point out that the classification of the case as “cleared” and the
termination of an investigation by a police agency does not preclude a reopening of the
investigation by the prosecutor at all court levels. One of the important features of the criminal
justice system is that it provides a method of checks and balances. Without this provision in the
system, fraudulent investigations, cover-ups and other acts of malfeasance could go
unchallenged by higher authorities.