workplace investigations and the process of investigation
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Workplace Workplace InvestigationsInvestigations
and the Process of and the Process of InvestigationInvestigation
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““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.”.”
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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
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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
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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
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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
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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
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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
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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
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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
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Standard of ProofStandard of Proof
Beyond a reasonable doubt
Preponderance
of the evidence
Good faith investigation
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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
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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!
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Crime DefinedCrime Defined
Property crimesProperty crimesNon-property crimesNon-property crimesViolent crimesViolent crimes
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Property CrimesProperty Crimes
TheftTheftEmbezzlementEmbezzlementBurglaryBurglaryRobberyRobbery
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Non-Property CrimesNon-Property Crimes
HarassmentHarassmentDiscriminationDiscrimination Insurance fraudInsurance fraudSubstance abuseSubstance abuseEthics violationsEthics violations
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Violent CrimesViolent Crimes
AssaultAssaultBatteryBatteryRapeRapeMurderMurderTerrorismTerrorism
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Employer ObligationsEmployer Obligations
MoralMoralStatutoryStatutoryFinancialFinancial
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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
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Original
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Successful Successful InvestigationsInvestigations
Management commitmentManagement commitmentMeaningful objectivesMeaningful objectivesWell conceived strategyWell conceived strategyProperly pooled resources and Properly pooled resources and
expertiseexpertiseLawful executionLawful execution
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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
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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
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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
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Physical SurveillancePhysical Surveillance
EasyEasyRelatively inexpensiveRelatively inexpensiveLimited applicationsLimited applicationsLimited evidentiary valueLimited evidentiary valueShould be considered only Should be considered only
corroborativecorroborative
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Electronic SurveillanceElectronic Surveillance
EasyEasyRelatively inexpensiveRelatively inexpensiveSignificant legal considerationsSignificant legal considerationsLimited evidentiary valueLimited evidentiary valueShould be consideredShould be considered only only
corroborativecorroborative
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Research and Audit…Research and Audit…
Criminal indicesCriminal indicesCivil indicesCivil indicesDepartment of Motor VehiclesDepartment of Motor VehiclesReal estateReal estateFictitious name filingsFictitious name filingsCorporationsCorporations
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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
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Forensic AnalysisForensic Analysis
EasyEasyComparatively expensiveComparatively expensiveSubject to evidentiary challengesSubject to evidentiary challengesEasily misused or misinterpreted Easily misused or misinterpreted
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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
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InterviewsInterviews
Logistically simpleInteractiveHigh evidentiary valueHigh corroborative valueProvide some element of due
processFraught with legal risks
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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
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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
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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
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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
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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
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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
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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