How To, When To and What To Do in Conducting an Investigation

July 10, 2013

Chris M. Wright

How to Prepare for an Investigation

1. Gather facts

2. Determine merits

3. Complying

4. Maintain confidentiality

5. Preserving reputations

6. Remedial action

7. Avoiding liability and preventing future claims

Now You Know You Need a Formal Investigation

Give Thought to Who Should Conduct the Investigation

Are there particular skills needed?

• Financial mismanagement?

• Active Listening skills

• Critical thinking skills

• Knowledge of company policies, procedures and practices

Do we need more than one investigator due to complexity of the case or timing issues ?

Consider the Position and Authority of the Complaint and the Accused

• Any perception of bias might evoke among witnesses

• Any potential impact on business operation

• Solid knowledge of the company policies, procedures and practices

Document Review

• Reserve all electronic data

• No destruction or deletion of documents or email

• Preserve all archived tapes and materials

Relevant Physical Evidence

• Complainant

• Witness Statement

• Personnel Files

• Written policies, procedures, practices and computer records

REVIEW

Identification of Key Witnesses

• Complainant • Accused• Related witnesses • Key witnesses

Create a chronology of events and an outline for each witness.

Outline Topics

• Applicable company policies• Summary of the complaint• Names and identities of all relevant witnesses• Relevant employment information on the complaint,

the accused and the key witness• Specifics of each incident• Identify other possible witnesses, new leads and new

documents• Resolve conflicting witness accounts without

identifying the witness• Potentially related claims and relevant information

Using Social Media for Investigations

• Social Mention. Com– Pulls up social media with the key words

• 123people.com– Pulls up photos, public records, blogs, microblogs, twitter

• Whostalkin.com– Gateway to 60 different social media sites

• Bing.com/social– Covers facebook and twitter– Can narrow down by date

• Foupas– Facebook search tool that locates the user based on their

username

Internet sites• Pipl.com

– Searches based on name, nickname, phone number or email address

• 123people.com– Searches photos, bing, blogs, twitter

• Yasni.com– Great starting point. Searches

numerous online and public databases

• Yatedo.com

• Zoominfo.com

A Little bit about Privacy Issues• Fair Credit Report Act

– State– Federal

• Authority to Release– Pre-employment– Full

• General Privacy Issues– Audio– Ownership– Access– Permissible Purpose

Copyright 1997 Merritt Publishing

Copyright 1997 Merritt Publishing

Copyright 1997 Merritt Publishing

Chris M. Wright, CPP chris@thewrightgroup.com714-687-1190 www.thewrightgroup.com