1. Workplace Investigations and the Process of Investigation

2. “ 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.”

3. 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.1 st Amendment Just Cause c.The reasonable expectation of privacy

4. 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.1 st Amendment Just Cause c.The reasonable expectation of privacy

5. Pre-Course Self-test  Investigative written notes are considered? a.Admissible if signed by the note- taker b.Rarely admissible and as such, they are not necessary to retain c.Admissible even when unreadable d.None of the above

6. Pre-Course Self-test  Investigative written notes are considered? a.Admissible if signed by the note- taker b.Rarely admissible and as such, they are not necessary to retain c.Admissible even when unreadable d.None of the above

7. 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

8. 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

9. 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

10. 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

11. Standard of Proof Beyond a reasonable doubt Preponderance of the evidence Good faith investigation

12. 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

13. The Cost of Crime  Decreased productivity and morale  Increased consumption of benefits  Decreased competitiveness and diminished profits  Damaged reputations!

14. Crime Defined  Property crimes  Non-property crimes  Violent crimes

15. Property Crimes  Theft  Embezzlement  Burglary  Robbery

16. Non-Property Crimes  Harassment  Discrimination  Insurance fraud  Substance abuse  Ethics violations

17. Violent Crimes  Assault  Battery  Rape  Murder  Terrorism

18. Employer Obligations  Moral  Statutory  Financial

19. Significant Trends  Greater use of technology  Expansion of employee rights  More litigious employees  Less room for error

21. Original

22. Successful Investigations  Management commitment  Meaningful objectives  Well conceived strategy  Properly pooled resources and expertise  Lawful execution

23. 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

24. The Seven Phases  Assessment  Preparation and planning  Information gathering  Verification and analysis  Decision-making  Disbursement of discipline and/or corrective action  Prevention and education

25. The Eight Methods  Physical surveillance  Electronic surveillance  Research and audit  Forensic analysis  Undercover  Interviews and interrogation  Search warrant/Grand Jury

26. Physical Surveillance  Easy  Relatively inexpensive  Limited applications  Limited evidentiary value  Should be considered only corroborative

27. Electronic Surveillance  Easy  Relatively inexpensive  Significant legal considerations  Limited evidentiary value  Should be consideredonly corroborative  Should be considered only corroborative

28. Research and Audit…  Criminal indices  Civil indices  Department of Motor Vehicles  Real estate  Fictitious name filings  Corporations

29. Research and Audit  Personnel files  Time cards and attendance records  Production and quality reports  Inventory records  Prior investigations and accident reports

30. Forensic Analysis  Easy  Comparatively expensive  Subject to evidentiary challenges  Easily misused or misinterpreted

31. Undercover  Interactive  Allows the collection of physical evidence and witness testimony  Not possible in all environments  Requires close supervision  Lengthy and costly

32. Interviews  Logistically simple  Interactive  High evidentiary value  High corroborative value  Provide some element of due process  Fraught with legal risks

33. Interviews  Follow organizational policy  Determine why subject was truthful  Determine who else involved  Keep door open for future interview  Document, document, document

34. 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

35. Never  Misrepresent self or purpose  Threaten or coerce  Minimize the consequences  Exaggerate the quality of your proof

36. 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

37. 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

38. Prevention Strategy  Pre-employment screening  Effective open-door policy  Effective security plan  Effective policies against violence  Anonymous communication systems  Education and training

39. 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