Evidence Collection Procedure
November 2009
This Project has been assisted by the Local Government Research and Development
Scheme
Evidence Collection
November 2009
0
1
Purpose and Scope
This procedure describes methods of evidence collection in relation to suspected
breaches of legislation.
The procedure covers evidence gathering from the commencement of an
investigation to the enforcement of the legislation and includes how to conduct
interviews, statements, taking notes, photographs, sampling and record keeping.
1.1
Responsibility
This procedure applies to persons who carry out investigations and compliance
activities under relevant legislation.
Officers are required to act reasonably and transparently, demonstrate good
customer service, undertake their responsibilities in a proficient manner and use their
judgement where necessary to ensure an outcome in line with legal requirements
and Council’s Enforcement Policy.
1.2
Legislation & Policy
Refer to the “Powers of Authorised Officers” under the piece of legislation that
governs the compliance action being taken.
1.3
Definitions
The definitions contained herein are not exhaustive and officers may need to
consider the relevant legislation for further applicable definitions
Site Visit - To enter a place for any reasonable and lawful purpose connected with
the administration or enforcement of legislation.
Inspection – An examination of a premises, vehicle or business for any reasonable
and lawful purpose connected with the administration or enforcement of legislation.
Caution – Official wording issued by an investigator to inform a person accused of
an offence that anything he or she says when taking a statement, may be used in
evidence.
1.4
General Notes
Wherever practicable, consult with your Supervisor if you intend to issue a caution in
the course of an investigation.
2
Relevant Documentation
Best Practice Procedures for Appointing Authorised Persons
3
Record Management
All documents, notes, photographs and correspondence must be retained and stored
in accordance with Council’s Records Management protocols as required by Section
125 of the Local Government Act 1999.
Evidence Collection
November 2009
1
4
Procedure
4.1
Preparation for an inspection
Prior to any visit or inspection carry out any necessary preparatory work which may
include:

Checking rights of entry to the site

Checking past history

Arranging appointments or obtaining a warrant of entry (Attachment A) if
necessary

Collating existing information and preparing questions to be asked

Checking equipment to be used and assembling all items required for the tasks
ahead. Always ensure you have:
o
Photo Identification (Authorised Person)
o
Note book/Pen
o
Mobile Phone
o
Camera, spare battery, memory card
o
Personal protection equipment; e.g. visibility vest, sun hat etc.
Note that ‘inspection’ does not mean search – it means using your eyes only.
4.2
Taking Photographs
Ensure the photograph captures all the relevant details and is legible.
Start with a wide angle shot (shop front, business name, street signs).
Filter the following photographs to show close-ups of the specifics you wish to
capture in detail.
Photographs can be digital or 35 mm.
If using a digital camera – the correct time and date must be displayed.
When printing from the digital camera – ensure the time and date appear.
All photographs must be stored in accordance with Council’s Records Management
protocols.
4.3
Note Taking
Anything of significance which occurs in the course of an investigation should be
noted “at about the time” (not the “exact time”), whilst the facts are still fresh in your
memory to provide a permanent on-the-spot record. When giving evidence in Court,
your original notes may be required.
Notebooks should be bound and pages numbered, however certain situations dictate
that notes can be recorded on foolscap paper, plan drawings, field receipts, labels,
post-it notes, typewritten, and e-mail.
Evidence Collection
November 2009
2
Details to take note of:

Times and dates when notes are commenced and completed

Location (a line map of what happened and where can be useful)

Entries should be in ink pen

Erasures should be avoided, alterations should be denoted by a single line
through the entry and initialled by the writer

Entries are kept in sequence

Notebook pages are not removed or damaged

Notation of any other persons present (interview situation)

Spaces and/or lines shall not be left blank

Pages that have space left after the completion of taking notes shall have a
diagonal line drawn across the page to prevent additional information being
added

If possible notes should be signed by all present to confirm that they are a true
record of the event
Store notebooks in a secure location. The notebooks are Council property, and part of
the official records of Council.
4.4
Interviews
An interview is a conversation to learn the facts of an investigation. It is important to
get a first hand, detailed account. In particular:

Complainant details (name, address, contact particulars)

Alleged offence (has an offence been committed)

Alleged offender (who committed the offence)

Interview location (dates and times)

Incident location details (e.g name of reserve, street address, map location grid
reference)

Incident occurred (dates and times)

Location of complainant/offender when incident occurred

Incident details (what happened)

Authority notified (dates and times)
Certain circumstances may require an ad-hoc interview to take place in the field
without prior preparation. Ensure during the interview that you obtain all contact
details of those involved for any further questions.
4.4.1 Types of questions to be avoided
Leading Questions – questions which prompt or encourage a specific answer, such
as “Did you discharged the liquid into the stormwater system?”
Multiple Questions – questions that ask for a number of responses such as, “Did
you discharge the waste liquid into the stormwater system, and then wash it down
with water, then fail to report it to your supervisor?”
Evidence Collection
November 2009
3
Ambiguous Questions – questions which are unclear such as, “During work hours
or after work did you or your work colleague discharge the waste into the stormwater
system or gutters?”
4.5
Issuing Cautions
If you have not formally cautioned a person whom you suspect has committed an
offence, there is a possibility that any statement they give you will not be admissible
in court.
Therefore, where the nature of the offence under investigation is serious and
could result in a Court proceeding, caution those about to be questioned in
relation to an alleged offence.
Matters to consider in deciding whether the offence could result in a Court
proceeding include:

the seriousness and effect of the offence

the intent of the offender

the forseeability of the offence, or the circumstances leading to it

the history of offending

whether there is enough evidence to prove the offence
If a person under investigation for a serious offence makes an incriminating
statement before there is time to appreciate the essence of the statement, caution
the person immediately upon realising its significance.
4.5.1
How to Caution
If there is a reasonable expectation that the person being interviewed has
committed the relevant offence and is likely to be prosecuted for it, issue a caution.
There are a number of forms of a ‘caution’ and the words below represent a good
example:

“I am going to ask you some questions in relation to [details of the alleged
offence]. You do not have to answer them unless you wish to do so, but
anything you say will be taken down and may be used in evidence. Do you
understand?”
Note: The words ‘against you’ should not be used in a caution as it could stop a
person from making a statement or further statement.
4.5.3
When not to caution
The person need not be cautioned if questions are put to them for other purposes, for
example, to establish their identity, or the ownership of any vehicle or animal.
4.6
Interpreters
Some interviews will require the assistance of an interpreter. The interpreter must be
briefed on the background information and confidentiality prior to the interview.
4.7
Statements
A statement is an individual’s truthful account of an incident they saw, heard, said
etc. A statement should be comprehensive, accurate and always use the witnesses’
language. When taking a statement the following rules must be followed:
Evidence Collection
November 2009
4

Record the facts of the incident which accurately reflect what was seen and
heard.

Determine the competence of the individual making the statement as this may
be later challenged in court.

Record the statement by either written or Dictaphone recording. Begin
recording with dates and times etc
The content of a statement should include:
1. The full name of the person providing and recording the statement.
2. Contact details of the person providing the statement
3. Relevant background information (e.g. occupation)
4. Date, day, time, what took place, who was involved, what was said and who
said it
5. Witness signature
5
Monitoring and Review of Procedure
This procedure was endorsed by ______________________________to take effect
on __________________________
Thereafter it will be reviewed annually. The next date of review is__________
6
Attachments
Attachment A
warrant of entry template
Best Practice Notes
Evidence Collection
November 2009
5