Workplace Workplace InvestigationsInvestigations

and the Process of and the Process of InvestigationInvestigation

““The process of investigation is The process of investigation is dynamic and fluid. The dynamic and fluid. The approach must be reasonable approach must be reasonable and the investigator flexible. and the investigator flexible. However, in order to be However, in order to be successful, every investigation successful, every investigation must have a meaningful must have a meaningful purpose and be executed purpose and be executed ethically and lawfullyethically and lawfully.”.”

Pre-Course Self-testPre-Course Self-test One of the first legal issues a One of the first legal issues a

fact-finder must confront when fact-finder must confront when considering a search of an considering a search of an employee’s personal work area employee’s personal work area or desk is?or desk is?

a.a. WeingartenWeingartenb.b. 11stst Amendment Just Cause Amendment Just Causec.c. The reasonable expectation of The reasonable expectation of

privacyprivacy

Pre-Course Self-testPre-Course Self-test One of the first legal issues a One of the first legal issues a

fact-finder must confront when fact-finder must confront when considering a search of an considering a search of an employee’s personal work area employee’s personal work area or desk is?or desk is?

a.a. WeingartenWeingartenb.b. 11stst Amendment Just Cause Amendment Just Causec.c. The reasonable expectation of The reasonable expectation of

privacyprivacy

Pre-Course Self-testPre-Course Self-test Investigative written notes are Investigative written notes are

considered?considered?

a.a. Admissible if signed by the note-Admissible if signed by the note-takertaker

b.b. Rarely admissible and as such, Rarely admissible and as such, they are not necessary to retainthey are not necessary to retain

c.c. Admissible even when unreadableAdmissible even when unreadabled.d. None of the aboveNone of the above

Pre-Course Self-testPre-Course Self-test Investigative written notes are Investigative written notes are

considered?considered?

a.a. Admissible if signed by the note-Admissible if signed by the note-takertaker

b.b. Rarely admissible and as such, they Rarely admissible and as such, they are not necessary to retainare not necessary to retain

c.c. Admissible even Admissible even when unreadablewhen unreadable

d.d. None of the aboveNone of the above

Pre-Course Self-testPre-Course Self-test The most common mistake The most common mistake

made by investigators is?made by investigators is?

a.a. Not taking a statement from every Not taking a statement from every witnesswitness

b.b. Over-investigating and attempting Over-investigating and attempting to achieve a standard of proof to achieve a standard of proof which is unachievablewhich is unachievable

c.c. Failing to prepare a proper final Failing to prepare a proper final report with recommendationsreport with recommendations

Pre-Course Self-testPre-Course Self-test The most common mistake The most common mistake

made by investigators is?made by investigators is?

a.a. Not taking a statement from every Not taking a statement from every witnesswitness

b.b. Over-investigating and attempting Over-investigating and attempting to achieve a standard of proof to achieve a standard of proof which is unachievablewhich is unachievable

c.c. Failing to prepare a proper final Failing to prepare a proper final report with recommendationsreport with recommendations

Pre-Course Self-testPre-Course Self-test Which standard of proof must be Which standard of proof must be

achieved in order to justify the achieved in order to justify the discipline of an employee?discipline of an employee?

a.a. Beyond a reasonable doubtBeyond a reasonable doubtb.b. Preponderance of the evidencePreponderance of the evidencec.c. Good faith investigation/reasonable Good faith investigation/reasonable

conclusionconclusion

Pre-Course Self-testPre-Course Self-test Which standard of proof must be Which standard of proof must be

achieved in order to justify the achieved in order to justify the discipline of an employee?discipline of an employee?

a.a. Beyond a reasonable doubtBeyond a reasonable doubtb.b. Preponderance of the evidencePreponderance of the evidencec.c. Good faith investigation/reasonable Good faith investigation/reasonable

conclusionconclusion

Standard of ProofStandard of Proof

Beyond a reasonable doubt

Preponderance

of the evidence

Good faith investigation

ObjectivesObjectivesExamine significant trends in Examine significant trends in

workplace crime and ethical workplace crime and ethical investigationsinvestigations

Examine the different forms of Examine the different forms of investigations and how they are best investigations and how they are best usedused

Learn how to avoid common legal Learn how to avoid common legal traps and obtain the highest return on traps and obtain the highest return on investment from every investigationinvestment from every investigation

The Cost of CrimeThe Cost of Crime

Decreased productivity and Decreased productivity and moralemorale

Increased consumption of Increased consumption of benefitsbenefits

Decreased competitiveness and Decreased competitiveness and diminished profitsdiminished profits

Damaged reputations!Damaged reputations!

Crime DefinedCrime Defined

Property crimesProperty crimesNon-property crimesNon-property crimesViolent crimesViolent crimes

Property CrimesProperty Crimes

TheftTheftEmbezzlementEmbezzlementBurglaryBurglaryRobberyRobbery

Non-Property CrimesNon-Property Crimes

HarassmentHarassmentDiscriminationDiscrimination Insurance fraudInsurance fraudSubstance abuseSubstance abuseEthics violationsEthics violations

Violent CrimesViolent Crimes

AssaultAssaultBatteryBatteryRapeRapeMurderMurderTerrorismTerrorism

Employer ObligationsEmployer Obligations

MoralMoralStatutoryStatutoryFinancialFinancial

Significant TrendsSignificant Trends

Greater use of technologyGreater use of technology

Expansion of employee rightsExpansion of employee rights

More litigious employeesMore litigious employees

Less room for errorLess room for error

Original

Successful Successful InvestigationsInvestigations

Management commitmentManagement commitmentMeaningful objectivesMeaningful objectivesWell conceived strategyWell conceived strategyProperly pooled resources and Properly pooled resources and

expertiseexpertiseLawful executionLawful execution

Your ObjectivesYour Objectives

True nature and scope of the True nature and scope of the problemproblem

Who is involved and whyWho is involved and whyGather information in such a Gather information in such a

fashion as to allow disciplinary fashion as to allow disciplinary and/or corrective actionand/or corrective action

Least disruptive to operationLeast disruptive to operationProvide a return on investmentProvide a return on investment

The Seven PhasesThe Seven Phases

AssessmentAssessmentPreparation and planningPreparation and planningInformation gatheringInformation gatheringVerification and analysisVerification and analysisDecision-makingDecision-makingDisbursement of discipline and/or Disbursement of discipline and/or

corrective actioncorrective actionPrevention and educationPrevention and education

The Eight MethodsThe Eight Methods

Physical surveillancePhysical surveillanceElectronic surveillanceElectronic surveillanceResearch and auditResearch and auditForensic analysisForensic analysisUndercoverUndercoverInterviews and interrogationInterviews and interrogationSearch warrant/Grand JurySearch warrant/Grand Jury

Physical SurveillancePhysical Surveillance

EasyEasyRelatively inexpensiveRelatively inexpensiveLimited applicationsLimited applicationsLimited evidentiary valueLimited evidentiary valueShould be considered only Should be considered only

corroborativecorroborative

Electronic SurveillanceElectronic Surveillance

EasyEasyRelatively inexpensiveRelatively inexpensiveSignificant legal considerationsSignificant legal considerationsLimited evidentiary valueLimited evidentiary valueShould be consideredShould be considered only only

corroborativecorroborative

Research and Audit…Research and Audit…

Criminal indicesCriminal indicesCivil indicesCivil indicesDepartment of Motor VehiclesDepartment of Motor VehiclesReal estateReal estateFictitious name filingsFictitious name filingsCorporationsCorporations

Research and AuditResearch and Audit

Personnel filesPersonnel filesTime cards and attendance Time cards and attendance

recordsrecordsProduction and quality reportsProduction and quality reportsInventory recordsInventory recordsPrior investigations and accident Prior investigations and accident

reportsreports

Forensic AnalysisForensic Analysis

EasyEasyComparatively expensiveComparatively expensiveSubject to evidentiary challengesSubject to evidentiary challengesEasily misused or misinterpreted Easily misused or misinterpreted

UndercoverUndercover

InteractiveInteractiveAllows the collection of physical Allows the collection of physical

evidence and witness testimonyevidence and witness testimonyNot possible in all environmentsNot possible in all environmentsRequires close supervisionRequires close supervisionLengthy and costlyLengthy and costly

InterviewsInterviews

Logistically simpleInteractiveHigh evidentiary valueHigh corroborative valueProvide some element of due

processFraught with legal risks

InterviewsInterviews

Follow organizational policyFollow organizational policyDetermine why subject was Determine why subject was

truthfultruthfulDetermine who else involvedDetermine who else involvedKeep door open for future Keep door open for future

interviewinterviewDocument, document, documentDocument, document, document

Interview TipsInterview Tips

Always treat subject with respect Always treat subject with respect and dignityand dignity

Do not hold subject against Do not hold subject against his/her willhis/her will

Do not offer immunityDo not offer immunityDo not make promises you can Do not make promises you can

not keepnot keepUse a witnessUse a witness

NeverNever

Misrepresent self or purposeMisrepresent self or purposeThreaten or coerceThreaten or coerceMinimize the consequencesMinimize the consequencesExaggerate the quality of your Exaggerate the quality of your

proofproof

More TipsMore Tips

Create an evidence fileCreate an evidence fileRequest and retain originalsRequest and retain originalsSecure original and work with Secure original and work with

copiescopiesProperly identify, but do not Properly identify, but do not

mark or altermark or alterKeep in safe placeKeep in safe place

Litigation AvoidanceLitigation Avoidance

Follow policyFollow policyDocument findings and Document findings and

determinations determinations Treat all people with respect and Treat all people with respect and

dignitydignityDo not discuss with others that Do not discuss with others that

haven’t a need to knowhaven’t a need to know

Prevention StrategyPrevention Strategy

Pre-employment screeningPre-employment screeningEffective open-door policyEffective open-door policyEffective security planEffective security planEffective policies against violenceEffective policies against violenceAnonymous communication Anonymous communication

systemssystemsEducation and trainingEducation and training

ConclusionConclusion

Plan ahead and follow company Plan ahead and follow company policiespolicies

Document resultsDocument resultsRecognize limitationsRecognize limitationsObey the law and keep others Obey the law and keep others

informedinformedTreat all people with respect and Treat all people with respect and

dignitydignity