ACSA PERSONNEL INSTITUTE Conducting Effective Workplace Investigations Joe Woodford Objectives Learn 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 timeline VISIT 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 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 • • • • • • • 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 Interview Continued • 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 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 • • • • 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 • • • • • 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 • • • • • • • 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