ACSA PERSONNEL INSTITUTE Conducting Effective Workplace Investigations Joe Woodford

ACSA PERSONNEL INSTITUTE

Conducting Effective Workplace Investigations

Joe Woodford

ObjectivesLearn How To:

• Prepare for an investigation• Collect evidence• Interview witnesses• Interview accused employee• Determine credibility • Prepare statements & reports

Definition Of Investigation

Systematic fact gathering

into allegation or

incident to determine the

truth of the matter.

Duty to Investigate

• Notice of possible wrongdoing

• Complaint– Formal – Anonymous – Confidential

• Observation • Report

Types Of Investigations

• Preliminary• Follow-up/formal investigation• Special investigation• Concurrent or parallel • Sub Rosa• Undercover

Preliminary Investigation

• Initial action by supervisor or manager• Timely• Gather basic facts

– Who– When– Where– What– How

• Collect evidence• Document & report

Follow-up Investigation

• Decision to investigate • Formal investigation• Follow-up on leads• Seek out witnesses• More time • Additional resources• Post legal action

Special Investigation

• Politically sensitive• High risk• Create attorney work product• Special training & expertise• Crimes

Parallel Investigation

• Concurrent with law enforcement • Police contacts • Avoid interference • Police report & LC 432.7 • Illegal possession of evidence • Police possession of evidence • District attorney

Sub-rosa & Undercover Investigations

• Surveillance • Undercover • Private investigator • Due diligence • Contract • Cost

Investigation Tasks

• Plan • Interview witnesses• Interview accused • Collect evidence• Build investigation file • Document

Investigation Plan

• Who will investigate? • Are resources needed?

– Forensic/Specialists

• Are interim protections necessary? • What policy/regulation is involved? • Are there relevant files & Records?

– Personnel, student, payroll, etc.

Evidence

Types Of Evidence

• Testimonial• Documentary• Physical• Electronic

Physical Evidence

• Chain of custody– Document & secure

• Converting the form– Photograph– Video tape– Witness description– Testing

Legal Acquisition

• Is it in plain sight?• Does the employee have a reasonable

expectation of privacy? • If no, search• If yes• Ask for consent to search

Test For Reasonableness

• Is reason for search reasonable?• At inception– what are my reasons for

search?– Document basis

• Was scope of search reasonable?• How far should search go?

– Limit search to area that would reasonably yield the contraband

Documentary Evidence

• Business records• Correspondence• Complaints• Job descriptions • Interview/meeting summaries• Policies, procedures, bulletins, etc.• Sworn statements

Testimonial Evidence

Source• Employees• Students• Parents• Vender’s• Citizens

Form• Written statement• Interview summary• Statement • Affidavit • Transcript

Interview Skills

Questions Are The Tools Of Interviewing

Considerations

• Who – Uninvolved – Training/experience– Gender

• Recorded vs. notes • Location

– Confidentiality

• Time

Interview Plan

• List known facts• Prepare & maintain a timelineVISIT SITE• Outline questions• Assemble aids• List of interviewees • Arrange for resource staff

Interview Aids

• Witness statements• Background info • Photographs, video• Contraband• Records / reports• Timeline• Documents• Work product

• Rules, procedures, etc• Job description • Laboratory reports• Laws, regulations• Previous statements• Maps• Sketches, plot plans

Active Listening

• Prepare in advance• Limit your own talking• Be interested• Look and listen for signals• Notice body language• Use interjections• Check for understanding

Get Answers To:

• Who?• When?• Where? • What?• How?• Why?

Characteristics Of Good Questions

• Short & confined to one topic• Avoid compound questions• Clear & easily understood• Avoid leading questions • Avoid frightening words• Relevant to interview objective

Open-ended Questions

• Goal is to get person talking• Provide useful information missed by

specific questions• Provide interviewer with unknown

information– Volunteered information– Contradictions– Admissions

Sample Open-ended Questions

• What can you tell me about the …• What do you know about the missing…• Why are there so many errors on your…• Tell me about this letter?• How did you get involved in this mess?• Tell me what happened?• Show me how it happen?

Closed ProbingQuestions

• Goal is to get information– Specific – Not volunteered – 5 W’s- who, what, where, when & why

• Ask one question at a time• Break questions down into smaller parts• Precise

Sample Closed-probing Questions

• Where were you?• Who else was there?• Is that your hand writing?• What did you say to her?• Who was driving the truck?• Did you take the money?• Did you grab Walter?

Notes

• Time, date, place & people present• Legible• Accurate• Witness identification• Witnesses story• Chronological order• Confidential information

Interview Summary

• Prepare soon after interview• Typed• Use narrative format• Include facts and relevant information• Limit to issue(s) under investigation• Use neutral tone• Review by interviewee

Witnesses

Interview Environment

• Private & confidential • No right to representation • Prevent interruptions • Remove distracters• Access to exit• Clear vision of interviewee

Witness Interview

• Establish rapport– A little small talk– Reassure– you are not in trouble

• Lay the ground work– Explain general nature of

incident/investigation – Don’t give details– Give purpose of interview

Witness InterviewContinued

• Take notes• Ask background questions • Ask opened questions

– Segue from introduction– “What can you tell me about…”– Get witness to talk– Allow witness to ramble

• Follow with closed probing questions

Witness InterviewContinued

• Determine ability to perceive incident– Distance from incident– Hear – See

• Stick to facts• Relationships • Any bias

Witness InterviewContinued

• Give opportunity to add information• Ask:

– “Is there anything else I should know…”– “What else can you tell me about…”– “Who else should I talk to…”

• Positive close– Thank you

The Accused

Shrewd investigators armed with knowledge of the facts save the most

difficult interviews for last

Rights Of Accused

• Self-incrimination – Criminal vs. Civil

• Refuse to cooperate with investigation• No right to lie• Right to union representation

– Weingarten rights

Right To Union Representation

• A bargaining unit member• Questioned by management• As part of an investigation• Employee reasonably believes it will lead

to discipline• Ask for union representation

Right ToUnion Representation Continued • Investigatory meetings• Particular union representative not

required• Employee may be required to respond• No right at routine meetings• No right during immediate correction of

work

Accused Interview

• Establish rapport– Small talk– Explain purpose of interview

• Background information • Obtain information about incident• Cooperation is expected• Must give honest answers• No decision has been made

Accused InterviewContinued

• Take notes– Carefully record admissions– Carefully record false statements

• Check knowledge of rules, procedures, etc.

• Ask open-ended questions– Let employee talk– “What can you tell me about…”

Accused InterviewContinued

• Follow with closed, probing questions– While answering open-ended questions

suspects will use avoidance or lie• Try to find out why

– Get explanation why they did it• Provide opportunity to add information

– Opportunity to tell their story– Other people to interview

Accused InterviewContinued

• Positive close• Advise of next step• Admonishments

– No retaliation – Confidentiality

• Thank them for information

Credibility

Indicators Of Withholding Information

• Attempts to evade question• Vague answers• Conflicting information• Physical actions & appearance• Circumstances placing in position to know• Inconsistencies• Information from other sources indicating

certain knowledge

Credibility Determination

• Detail & consistency• Inherent plausibility• Character & record of witnesses• Presence or absence of corroboration• Motive to lie • Demeanor & bearing• Reason for bias

Investigation Report

• Yes or no?• Is a report required? • Strategic consideration

Report Writing

• Chronological order• Active voice in past tense• First person• Include specific detail• Don’t use jargon• Factual and truthful• Edit

Report Contents

• Procedural history • Allegations • Pertinent laws, policies regulations, etc. • Findings • Conclusions

Findings

• Substantiated • Unsubstantiated • Disproved • Exonerated

Common Mistakes

• Timidity • Delay • Relying on written statements• Not interviewing all witnesses• Not getting both sides of the story• Not separating witnesses • Not seeing for yourself

Wrap-up

• Prompt • Thorough • Nimble • Fair • Documented• Determination

Joe Woodford

PO Box 3277

Crestline, Ca. 92325

(909) 338-5103

www.joepattie@verizon.net