ACSA PERSONNEL
INSTITUTE
Conducting Effective Workplace
Investigations
Joe Woodford
Objectives
Learn How To:
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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
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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
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Who
When
Where
What
How
• Collect evidence
• Document & report
Follow-up Investigation
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Decision to investigate
Formal investigation
Follow-up on leads
Seek out witnesses
More time
Additional resources
Post legal action
Special Investigation
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Politically sensitive
High risk
Create attorney work product
Special training & expertise
Crimes
Parallel Investigation
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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
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Surveillance
Undercover
Private investigator
Due diligence
Contract
Cost
Investigation Tasks
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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
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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
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Business records
Correspondence
Complaints
Job descriptions
Interview/meeting summaries
Policies, procedures, bulletins, etc.
Sworn statements
Testimonial Evidence
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Source
Employees
Students
Parents
Vender’s
Citizens
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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 timeline
VISIT SITE
• Outline questions
• Assemble aids
• List of interviewees
• Arrange for resource staff
Interview Aids
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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
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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:
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Who?
When?
Where?
What?
How?
Why?
Characteristics Of Good
Questions
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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
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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 Probing
Questions
• 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
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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
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Time, date, place & people present
Legible
Accurate
Witness identification
Witnesses story
Chronological order
Confidential information
Interview Summary
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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
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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 Interview
Continued
• Take notes
• Ask background questions
• Ask opened questions
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Segue from introduction
“What can you tell me about…”
Get witness to talk
Allow witness to ramble
• Follow with closed probing questions
Witness Interview
Continued
• Determine ability to perceive incident
– Distance from incident
– Hear
– See
• Stick to facts
• Relationships
• Any bias
Witness Interview
Continued
• 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
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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 To
Union 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
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Background information
Obtain information about incident
Cooperation is expected
Must give honest answers
No decision has been made
Accused Interview
Continued
• 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 Interview
Continued
• 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 Interview
Continued
• Positive close
• Advise of next step
• Admonishments
– No retaliation
– Confidentiality
• Thank them for information
Credibility
Indicators Of Withholding
Information
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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
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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
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Chronological order
Active voice in past tense
First person
Include specific detail
Don’t use jargon
Factual and truthful
Edit
Report Contents
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Procedural history
Allegations
Pertinent laws, policies regulations, etc.
Findings
Conclusions
Findings
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Substantiated
Unsubstantiated
Disproved
Exonerated
Common Mistakes
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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
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Prompt
Thorough
Nimble
Fair
Documented
Determination
Joe Woodford
PO Box 3277
Crestline, Ca. 92325
(909) 338-5103
www.joepattie@verizon.net