Investigative Case File Management Notes

Investigative Case File Management Notes

Introduction

• The course educates students on managing and documenting various ongoing investigations.

Terminal Performance Objective (TPO):

• Understand methods for managing criminal investigations effectively.

Enabling Performance Objectives (EPO):

1. Case Management Skills:

   • Critical for investigators to avoid loss of leads and evidence.

   • Failure in case management can negatively impact prosecution outcomes.

2. Investigation Management:

   • Control involves:

     • Tasks

     • Information

     • People involved

   • Management includes physical aspects (e.g., team members) and processes (deadlines, workflows).

3. Purpose of Investigation Management:

   • Maintain workflow efficiency.

   • Centralized files prevent redundancy in case initiation.

   • The responsible individual (typically NCOIC) ensures investigations run smoothly.

4. Major Challenges:

   • Deadlines

   • Assigning Task

   • Keeping everything on track

   • Adapting when new information comes to light

Problems in Investigation Management

• Lack of Planning:

  • Jumping into investigations without a strategy can lead to information loss.

• Inability to Adapt:

  • Without clear planning, investigators miss deadlines and regulatory compliance.

Investigation Action Plan Template (Time Management)

• Initiate investigations with a structured action plan.

• Create timelines and task assignments ahead of time.

• Prioritize tasks based on urgency, allowing delegation where possible.

Team Management and Goals (Avoid too-high Expectations)

• Recognize team strengths and set realistic investigation goals.

• Encourage quality work, while understanding limitations.

• Seek external help when necessary.

CoL’s

• Which person is usually responsible for the management of investigations?

• NCOIC

EPO #2: Case Receipt, Assignment, and Closure

Methods to Handle Cases

1. 4 Common Ways to Receive Cases:

   1. Patrol Officers: refer cases based on incidents.

   2. Supervisors: assign cases based on internal review.

   3. Self-Initiated: investigations leads to more investigation.

   4. Referred from Other Agency: RFA or case transfer.

2. Tracking Cases:

   • Utilize a case tracker worksheet.

   • Maintain documentation on progress, due dates, and officer assignments.

   • A follow-up report is essential every 30 days.

Case Closure Reasons

1. Arrest Made

2. Pending Further Leads: Reopen with new information.

3. Referred For Administrative Action: Commands NJP.

4. Exeptional Circumstances: Death of Offender/Victim Case conclusion.

5. Unfounded Incidents: Cleared for various reasons.

CoL’s

• There are 4 common ways to receive a case. What are they?

• Patrol Officers, Supervisors, Self-Initiated, Referred

EPO #3: File Management Benefits

1. Centralized Organization:

   • Use a 6-part folder system to manage documents effectively.

2. Document Security:

   • Keep originals secure; provide working copies for legal proceedings.

3. Efficient Testimony Preparation:

   • Organized files aid in clear testimonies during trials.

Components of 6-Part Folder

• Section 1: SJA/SAUSA documents and action reports.

• Section 2: Statements and witness records.

• Section 3: Search and seizure authorizations.

• Section 4: Digital evidence and recorded interviews.

• Section 5: Mental health and medical reports.

• Section 6: Disclosure and prosecution memos.

CoL’s

• The original documents in a case need to be what because they may

  be used as evidence at a trial?

• Maintained

EPO #4: Solvability Factors in Case Processing (Add More)

• Address and identity of suspects.

• Public interest in the case.

• Jurisdiction and resources available.

• Effective timelines and prevention of case backlogs.

CoL

• What are some solvability factors to consider when deciding how to work an investigation?

  • Can a suspect be named?

  • Is the address of a suspect known?

  • Is it known where a suspect may usually be found?

  • Could a suspect be identified by the victim/witness if seen again?

  • Vehicle plate number obtained by the victim/witness?

EPO #5: Submitting Completed Investigations

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• Prosecutor Decision Factors:

  • Further investigation needs.

  • Recommendation for prosecution or alternatives.

• Disclosure Requirements:

  • Compliance with constitutional guarantees for fair trial procedures, including the provision of exculpatory evidence.

  • Section 9-5.001 of the United States Attorney’s Manual

    • describes the Department’s policy for disclosure of

      exculpatory and impeachment information

• Constitutional Requirements

  • obligation to ensure a fair trial and disclose material

• Discovery obligations of federal LE officers are established by:

  • Federal Rules of Criminal Procedure 16 and 26.2

  • 18 USC §3500 (the Jencks Act)

  • Brady v. Maryland, 373 US 83 (1963)

  • Giglio v. the United States, 405 US 150 (1972)

Col

• Where does the discovery obligation for federal law enforcement officers come from?

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Conclusion

• Consistent file management enhances efficiency and prosecution prospects in criminal investigations.

• Seminars and provided documentation guide effective practices for investigators.