
                                                                  
               THE PRELIMINARY INVESTIGATION PROCESS                         
                                                                  
                                 By

                     Chief Gordon F. Urlacher
                                 and
                       Lt. Robert J. Duffy               
              Rochester, New York, Police Department                           
                                                                  
     The ability to conduct an effective preliminary 
investigation is the foundation on which the entire criminal 
investigation process is built.  Preliminary investigations are 
most effective when the officer views the work as a process 
rather than as a series of simple mechanical tasks.  This 
approach also provides a guide for first responding officers to 
select appropriate initial investigative procedures.  Rarely are 
two crimes identical; so, there cannot always be a standardized 
set of procedures to follow in each and every case.  But, by 
remaining creative and flexible, the officer can be responsive to 
the various factors which inevitably arise during a criminal 
investigation.  Therefore, all police administrators and managers 
should concern themselves not only with how this process is being 
conducted within their respective departments but also what 
training and improvements could be used to ensure maximum 
results.                                            
              
     The primary training concern for management in this area 
should be to prioritize the first responding officer's options, 
so that the total time spent on the investigation can be 
minimized and the results maximized.  The recommended procedures 
set forth in this article are based on the Rochester, NY, Police 
Department's research into the preliminary investigation process, 
with specific emphasis on identifying the investigative 
strategies that were most effective in solving crimes. These 
procedures do not deal with every conceivable type of 
investigation, but they will ensure that investigations will have 
an increased chance of reaching their objectives--crime 
identification, crime solution and apprehension, and successful 
prosecution.                                      
                
     Five hundred cleared burglaries were studied to determine 
which factors, such as witness identification of a suspect and/or 
vehicle, fingerprint identification, or a random search, led to 
the solution of the crime.  Through this research, (1) those 
investigative strategies, which proved to be most productive, 
were identified.                                      
            
     This research also concluded that the success of criminal 
investigations can be greatly improved by implementing a new 
overall preliminary investigation strategy.  Thus, the 
preliminary investigation becomes a police department's first 
step and can determine the department's overall success rate in 
solving crimes.                                                   

OBJECTIVES                                                        

     The preliminary investigation is the police agency's first 
response to a report that a crime was committed.  As in every 
investigative effort, the primary objective is to determine who 
committed the crime and to apprehend that person.  Therefore, the 
first responding officer collects evidence which will help 
identify the individual responsible for the crime and which will 
lead to the subsequent arrest and conviction of that person. 
Unfortunately, this simple, but extremely vital, objective is 
often forgotten.                                                  

     All too often, the first responding officer acts as nothing 
more than a mechanical report taker, when, in fact, such reports 
are vital to the preliminary investigation.  Every police officer 
who conducts these investigations should remember that this work, 
completed during the early stages, uncovers much of the usable 
and pertinent information regarding that particular case.         

FRAMEWORK                                                         

     The framework of the preliminary investigation is based upon 
several major areas which the first responding officer must 
address.  Completing the activities within these areas is the 
objective of the preliminary investigation and will help guide 
the first responding officer.  The first step is to decide if an 
offense has actually occurred.  The second step is to identify 
the victim and the time and place in which the crime took place. 
Then, the officer should identify any solvability factors that 
could lead to the successful conclusion of the investigation.  A 
solvability factor is information about a crime which can provide 
the basis for determining who committed the crime.                

Determining if an Offense Has Occurred                            

     The preliminary investigation begins when the call to 
respond has been received.  At this time, the officer should 
verify that the offense has actually occurred and should become 
mentally prepared prior to arriving on the scene.  The officer 
should also formulate questions to be asked, as well as decide 
which response factors are appropriate to the type of crime that 
was committed.  The responding officer should also keep a 
watchful eye for any suspicious activity while en route to the 
scene.                                                            

     It is always good practice for the first responding officer 
to make a quick, visual survey of the scene upon arrival.  Then, 
the officer should determine if there are any injuries and 
identify and locate the witnesses in the event that the suspect 
has already fled the scene.  In addition, the officer must always 
take measures to ensure that all remain at the scene until they 
can each be interviewed.                                

Identifying and Assisting the Victim                              

     Another initial task in the preliminary investigation is to 
identify the victim.  This can be relatively simple since the 
victim is usually the complainant and the first person the 
officer approaches.  In many instances, such as in cases 
involving burglary, the victim provides the most useful 
information; however, for those victims who have been assaulted 
or robbed, the information given may have limited value because 
of the effect of traumatization.                                  

     To be a victim of crime, no matter how insignificant it may 
seem, is often an extremely traumatic experience. Therefore, 
sensitivity and nonjudgmental support from the preliminary 
investigator will not only help calm the victim but will also 
enable the officer to establish rapport and will make the job of 
collecting information much easier. Once rapport has been 
established, the officer should proceed with a specific line of 
questioning that will help obtain the information needed to solve 
the crime.                                                        

     The first responding officer should also document the crime 
by asking the following questions:                                

     *  Was the lapse of time between the crime's occurrence and the 
        notification of police normal?                                    

     *  Are there discrepancies in the statements of either the 
        victims or witnesses?                                             

     *  Does the physical evidence support the facts of the crime 
        related by the victim?                                   

Identifying Solvability Factors                                   

     Not all crimes can be solved, no matter how much 
investigative effort is put forth.  In fact, with more and more 
crimes being committed each day, many police agencies find it 
difficult to provide even minimal investigative assistance to low 
priority crimes.  Therefore, it makes sense to allocate resources 
only to those crimes which have a chance for solution. This is 
why solvability factors are so important.  They provide a valid 
guide to the allocation of scarce resources.                      

     Through data collected by the Rochester Police  Department,  
it was determined that at least one of the following 12 
solvability factors must be present in order for the case to be 
solved.  If at least one of these factors was not present, the 
crime was not solved.  The 12 solvability factors, defined by the 
Rochester Police Department, include:                             

     *  Witnesses to the crime                                       

     *  Knowledge of the suspect's name                              

     *  Knowledge of where the suspect can be located                

     *  Description of suspect                                      

     *  Identification of suspect                                    
     
     *  Property with traceable, identifiable characteristics, marks 
        or numbers                                                        

     *  Existence of a significant method of operation               

     *  Presence of significant physical evidence                    

     *  Description of the suspect's vehicle                         

     *  Positive results from a crime scene evidence search          

     *  Belief that crime may be solved with publicity and/or 
        reasonable additional investigative effort                        

     *  Possibility and/or opportunity for anyone, other than the 
        suspect, to have committed the crime                              

     The job of the preliminary investigating officer is to 
scrutinize each one of these factors to determine which, if any, 
exist.  And, in order to ensure that the officer had expended 
adequate effort in every possible area, it should only be 
necessary to look at the solvability factors identified.  Since 
crimes have little chance of being solved unless these factors 
have been identified, it becomes clear just how important the 
duties of the preliminary investigating officer really are.  The 
success of the follow-up investigation, if one is necessary, 
depends heavily on how the preliminary investigation was 
conducted and on the information uncovered during the initial 
phase.                                                 

Communicating the Circumstances of the Crime                      

     If the case is not closed immediately by an arrest, the work 
of the preliminary investigating officer concludes when a 
decision is made to continue or halt the investigation.  At this 
stage, the officer must ensure that the information obtained is 
as complete as time and circumstances will permit, and that it is 
properly documented, because further efforts by the police 
department or agency will depend upon it.                         

     At the end of the preliminary investigation, a decision 
should be made as to whether there are sufficient leads to solve 
the crime.  The implications of this are obvious.  If the 
preliminary investigation has been thorough, then the 
recommendation to continue investigative efforts will be based on 
valid data, and the collection of material for later court 
presentation will begin.  But, if an improper preliminary 
investigation has been conducted, a faulty decision could be 
made, or later court action could be unsuccessful.          

Identifying Complete and Incomplete Investigative Tasks           

     However, before the recommendation to continue or terminate 
the investigation is made, it is imperative that the maximum 
possible effort has been made to identify all of the solvability 
factors.  The officer should feel confident that all potential 
witnesses have been sought, a thorough crime scene search has 
been conducted, and every reasonable investigative effort has 
been made.  At this point, a recommendation for further 
investigative effort can be made, provided that the officer 
believes that a follow-up investigator will not duplicate prior 
efforts.                                                  

IMPROVING PRELIMINARY INVESTIGATIONS                              

     One tactic that can be used to improve the quality of the 
preliminary investigation process is to place greater emphasis on 
collecting evidence.  Physical evidence is valuable in 
corroborating identifications made through other means.  However, 
few agencies have the resources to send trained evidence 
technicians to all crime scenes, and few have developed policies 
defining when technicians should or should not be sent.  As a 
result, technicians are over-used, the quality of their work 
declines, and more evidence is collected than necessary.          

     Therefore, each police agency should develop guidelines for 
the use of evidence technicians in routine cases, such as 
robberies and burglaries without serious injuries or extremely 
high losses.  The criteria should also take into account that 
when a crime scene is processed, physical evidence will be more 
useful if and when the suspect is later identified. Therefore, 
evidence technicians should be used when:                         

     *  A suspect is arrested at or near the scene and physical 
        evidence from the crime scene will be useful in the 
        prosecution   

     *  A suspect has been identified but not arrested, and 
        physical evidence can be used to corroborate the 
        identification            

     *  There are sufficient leads to make it possible that the 
        suspect will be identified, and physical evidence should be 
        collected to corroborate any future identification                

     *  There are peculiar circumstances to the crime, indicating 
        that it may be part of a pattern. And, physical evidence 
        may be useful in corroborating the identification of a 
        suspect traced through investigation of other crimes in 
        the series.              

     Devoting more effort to canvassing neighborhoods for 
witnesses can also enhance the preliminary investigation 
process.  Witnesses are extremely important in identifying 
suspects and leading to arrests and convictions; yet, patrol 
officers often fail to canvass neighborhoods near crime scenes in 
order to locate those witnesses who were not at the crime scene 
when the officer arrived.  Relying solely on victims and 
witnesses immediately available at the crime scene obstructs the 
effectiveness of further investigative efforts.                   

     In addition, one infrequently used source in preliminary 
investigations are department records.  In some cases, officers 
may believe they are ``tied'' to their vehicles and that records 
are difficult and time consuming to locate.  To increase the 
accessibility to these records, police managers should design and 
implement record systems which can be accessed through enhanced 
radio and telephone communications.                               

     Instructing patrol officers how to make greater use of 
informants can also have tremendous benefits.  Informants are 
particularly useful in identifying suspects; however, patrol 
officers rarely use them, perhaps because they lack the skills to 
cultivate and maintain informants.  Store owners, businessmen, 
delivery people, as well as ordinary citizens, make outstanding 
sources of information, but are often overlooked.  More often 
than not, the officer patrols in a reactive manner, making little 
effort to leave the car to get to know the people within a patrol 
district. By implementing the ``directed foot patrol'' concept, 
whereby officers must patrol on foot within a designated area of 
their beat, officers can get to know the local citizenry and 
develop useful informants.                                        

CONCLUSION                                                        

     In summarizing ways to improve the preliminary investigation 
process within a department, it is absolutely necessary that 
management instill among patrol officers, through training and 
supervision, the concept that the preliminary investigation 
process is so much more than merely writing a mechanized report. 
The preliminary investigation should be conducted methodically 
and should be a source of pride for police officers.              

     Each officer should realize that the manner in which the 
preliminary investigation is conducted reflects on the overall 
performance as a police officer, and also serves as a showcase 
of personal investigative skills.  Helping to implement positive 
attitudes and behaviors such as these can only enhance the 
overall outcome of the preliminary investigation process and the 
success of the entire law enforcement organization.              

FOOTNOTE

(1) Peter B. Bloch and James Bell, Managing Investigations:  
The Rochester System, (Police Foundation). 
