Transcript Workplace Investigation and the Process of Investigation

Workplace
Investigations
and the Process of
Investigation
“The process of investigation is
dynamic and fluid. The
approach must be reasonable
and the investigator flexible.
However, in order to be
successful, every investigation
must have a meaningful
purpose and be executed
ethically and lawfully.”
Pre-Course Self-test
 One of the first legal issues a
fact-finder must confront when
considering a search of an
employee’s personal work area
or desk is?
a. Weingarten
b. 1st Amendment Just Cause
c. The reasonable expectation of
privacy
Pre-Course Self-test
 One of the first legal issues a
fact-finder must confront when
considering a search of an
employee’s personal work area
or desk is?
a. Weingarten
b. 1st Amendment Just Cause
c. The reasonable expectation of
privacy
Pre-Course Self-test
 Investigative written notes are
considered?
a. Admissible if signed by the notetaker
b. Rarely admissible and as such,
they are not necessary to retain
c. Admissible even when unreadable
d. None of the above
Pre-Course Self-test
 Investigative written notes are
considered?
a. Admissible if signed by the notetaker
b. Rarely admissible and as such, they
are not necessary to retain
c. Admissible even when unreadable
d. None of the above
Pre-Course Self-test
 The most common mistake
made by investigators is?
a. Not taking a statement from every
witness
b. Over-investigating and attempting
to achieve a standard of proof
which is unachievable
c. Failing to prepare a proper final
report with recommendations
Pre-Course Self-test
 The most common mistake
made by investigators is?
a. Not taking a statement from every
witness
b. Over-investigating and attempting
to achieve a standard of proof
which is unachievable
c. Failing to prepare a proper final
report with recommendations
Pre-Course Self-test
 Which standard of proof must be
achieved in order to justify the
discipline of an employee?
a. Beyond a reasonable doubt
b. Preponderance of the evidence
c. Good faith investigation/reasonable
conclusion
Pre-Course Self-test
 Which standard of proof must be
achieved in order to justify the
discipline of an employee?
a. Beyond a reasonable doubt
b. Preponderance of the evidence
c. Good faith investigation/reasonable
conclusion
Standard of Proof
Beyond a reasonable doubt
Preponderance
of the evidence
Good faith investigation
Objectives
Examine significant trends in
workplace crime and ethical
investigations
Examine the different forms of
investigations and how they are best
used
Learn how to avoid common legal
traps and obtain the highest return on
investment from every investigation
The Cost of Crime
Decreased productivity and
morale
Increased consumption of
benefits
Decreased competitiveness and
diminished profits
Damaged reputations!
Crime Defined
Property crimes
Non-property crimes
Violent crimes
Property Crimes
Theft
Embezzlement
Burglary
Robbery
Non-Property Crimes
Harassment
Discrimination
Insurance fraud
Substance abuse
Ethics violations
Violent Crimes
Assault
Battery
Rape
Murder
Terrorism
Employer Obligations
Moral
Statutory
Financial
Significant Trends
Greater use of technology
Expansion of employee rights
More litigious employees
Less room for error
Original
Successful
Investigations
Management commitment
Meaningful objectives
Well conceived strategy
Properly pooled resources and
expertise
Lawful execution
Your Objectives
True nature and scope of the
problem
Who is involved and why
Gather information in such a
fashion as to allow disciplinary
and/or corrective action
Least disruptive to operation
Provide a return on investment
The Seven Phases
Assessment
Preparation and planning
Information gathering
Verification and analysis
Decision-making
Disbursement of discipline and/or
corrective action
Prevention and education
The Eight Methods
Physical surveillance
Electronic surveillance
Research and audit
Forensic analysis
Undercover
Interviews and interrogation
Search warrant/Grand Jury
Physical Surveillance
Easy
Relatively inexpensive
Limited applications
Limited evidentiary value
Should be considered only
corroborative
Electronic Surveillance
Easy
Relatively inexpensive
Significant legal considerations
Limited evidentiary value
Should be considered only
corroborative
Research and Audit…
Criminal indices
Civil indices
Department of Motor Vehicles
Real estate
Fictitious name filings
Corporations
Research and Audit
Personnel files
Time cards and attendance
records
Production and quality reports
Inventory records
Prior investigations and accident
reports
Forensic Analysis
Easy
Comparatively expensive
Subject to evidentiary challenges
Easily misused or misinterpreted
Undercover
Interactive
Allows the collection of physical
evidence and witness testimony
Not possible in all environments
Requires close supervision
Lengthy and costly
Interviews
Logistically simple
Interactive
High evidentiary value
High corroborative value
Provide some element of due
process
Fraught with legal risks
Interviews
Follow organizational policy
Determine why subject was
truthful
Determine who else involved
Keep door open for future
interview
Document, document, document
Interview Tips
Always treat subject with respect
and dignity
Do not hold subject against
his/her will
Do not offer immunity
Do not make promises you can
not keep
Use a witness
Never
Misrepresent self or purpose
Threaten or coerce
Minimize the consequences
Exaggerate the quality of your
proof
More Tips
Create an evidence file
Request and retain originals
Secure original and work with
copies
Properly identify, but do not
mark or alter
Keep in safe place
Litigation Avoidance
Follow policy
Document findings and
determinations
Treat all people with respect and
dignity
Do not discuss with others that
haven’t a need to know
Prevention Strategy
Pre-employment screening
Effective open-door policy
Effective security plan
Effective policies against violence
Anonymous communication
systems
Education and training
Conclusion
Plan ahead and follow company
policies
Document results
Recognize limitations
Obey the law and keep others
informed
Treat all people with respect and
dignity