Workplace Investigations

The element of a successful investigation would have to be commitment by executive management of

the organization. Because of the sensitivity of a workplace investigation, commitment by upper
management is essential. If you do not have the support of upper management, your investigation will
not only be less successful, it will place you, as the investigator, in a bad light with others in the
organization. The investigation must be accomplished in a timely manner and management must place
a lot of trust and responsibility on you as an investigator. Most workplace investigations are sensitive in
nature involving a violation of policies, procedures, or ethical behavior. Management must support the
investigator and the outcome of an investigation 100%. Interviews and interrogations are extremely
important to a successful investigation. In this phase, vital information is gathered concerning what
occurred. An investigator will obtain different versions of the facts leading to a more complete
investigation, which will aid in gathering the facts of an incident. The preparation and planning phase is
extremely important to a successful investigation. Being organized in our thought about the
investigation and preparing for interviews and interrogations will allow for a more systematic approach
and ensure nothing is overlooked. By failing to prepare, you are preparing to fail!
One characteristics of a good investigator is ethics. Ethics is conforming to accepted professional
standards and having a set of principles and values. Being in a position where you conduct
investigations you are entrusted with a great deal of responsibility and should set an example for others
to follow. Impartiality is also very important because you have to be able to separate your personal
feelings from your professional ones. By showing favoritism toward one person and singling another out
for the same offense, only causes ill feelings, dissension, and mistrust and disrespect for you. An
investigator must look at the facts and not who the subject of an investigation is and treat everyone
equally.
Fairness involves being honest and up front during an investigation. Everyone should be treated equally
and shown respect no matter what theyve done or who they are. Skill is important to conducting an
effective investigation. When you have skill, you have the ability to effectively use you knowledge and
conduct a competent investigation. Experience comes from skill. If you develop your skills in a certain
area of expertise, you gain experience. Experience comes from performing tasks over and over using
your developed skills and as a result, you gain confidence.
Evidence
The collection and preservation of evidence in any investigation is extremely crucial because this is what
I believe will make or break your case. Every investigator is required to know the proper procedures of
gathering, handling, and storing evidence. One mistake can cost you your entire case. Maintaining the
integrity of your evidence is crucial. This includes how the evidence is s collected, how the evidence is
transported, who handles the evidence, and proper packaging and storage of the evidence. For
example, when you collect evidence you should ensure that you dont cross contaminate the evidence
by wearing proper protective clothing. Placing the evidence in suitable containers (paper, metal cans,
and plastic bags) for transportation is the next step. If you place evident that is wet into a plastic bag,
the evidence will rot and become moldy and degraded. Ensuring the evidence is properly secured is also
extremely important. If anyone handles the evidence for any reason, they must be listed on the chain of
custody and the reason they handled the evidence. Providing a safe and proper storage for evidence
until the completion of the case is critical. You want the evidence in the same condition as it was when
you collected it when you go to trial. By following proper protocol and procedures for evidence
handling, you are ensuring the integrity of you evidence. That one piece of evidence, like 1 hair, 1
fingerprint, or 1 drop of blood, can solve and prove your case.
Forensic Analysis
Forensic Analysis is the use of science to solve crimes. It involves the collection of information about
chemical analysis, biological analysis, fingerprint identification, computer analysis, document
examination, polygraph examinations, and reconstruction of crime scenes and accident scenes. When
using Forensic Analysis, you take the samples youve collected and compare them to know samples.
Some disciplines of Forensic Analysis are Toxicology, which is the study of drugs and alcohol. Serology is
the examination of blood or other biological fluids. Question documents examination looks at
documents, handwriting, and typewriting imprints. Odontology is the examination of bite marks and
teeth structure. Hair analysis examines the type of hair, human or animal, natural or synthetic, and can
be used for DNA extraction. Fiber analysis examines type and composition, origin, and location of
distribution. Firearms identification and ballistics is the study of the tool marks and striations left on
bullets after it has been fired through a specific firearm. Forensic entomology is a study of insects to
obtain information about a crime scene and is part of medical anthropology.
Accident and crimes scene reconstruction is methodically worked backwards leading back to before the
incident occurred. Investigators deal with what happened that contributed to the incident or accident.
During accident reconstruction, a trained investigator can uncover important aspect that others may
overlook and miss. Using skid marks to determine speed or examination of light bulbs from taillights can
show whether the turn signals were used or the brake lights were working prior to the accident.
Accident reconstruction is used by insurance companies, especially in cases involving a lawsuit, to
demine who is at fault or if anyone is at fault in an accident.
Computer forensics uses a scientific process of capturing and analyzing information stored in an
electronic format. It is a highly technical field that requires unique skills and knowledge in computer
technology and software. Computers are used in financial crimes, sex crimes, identification theft, fraud,
embezzlement; even emails can be the source of evidence obtained from a commuter.
Forensic document examination uses paper documents, ink analysis, and handwriting to solve crimes,
Examination of questioned documents uses analysis and comparisons with known samples to establish
authenticity or to detect alterations.
Polygraph examination consists of the collection of physiological data from the human body. A
polygraph measures and records a persons respiration, sweat gland activity, and blood pressure or
cardiovascular activity. Typically, a subject is given a pretest where the questions to be asked are
discussed. The chart collection phase is administered by the examiner and analyzes the information
collected to determine the subjects truthfulness. Polygraphs are used by corporations and companies
prior to employment, law enforcement, and the legal community during criminal investigations.
Arrest and Criminal Records
On most job applications there is a question of whether the person has been convicted of a felony.
However, an employer or prospective employer cannot ask a person if they have been arrested for a
felony if the arrest did not result in a conviction. Most employers can conduct background checks to
include criminal history. In workplace investigations, employers cannot discipline an employee after he
discovers the employee may have a criminal record. But if the employee lied on an application and
stated that they did not have a criminal conviction, they are then guilty of fraud and misrepresenting
themselves. By stating on the job application that withholding this information will disqualify the
applicant or be grounds for termination at a later date, the employer is protecting themselves. In
certain work environments such as healthcare, childcare, or law enforcement, for example, there are
exceptions. If a person is a licensed pharmacist, who loses their job for stealing and abusing drugs, goes
to another state and applies for employment at a pharmacy, it would be beneficial to have this
information available. If the person is hired, continues to abuse drugs and accidently overdoses and dies
as a result, the company could be held liable. The same is true of sex offenders that apply for
employment at schools and daycare centers or healthcare facilities.
Employers must guard against using past criminal history in workplace investigations just because it
doesnt necessarily mean the person will offend again. Otherwise this can be construed as
discrimination. It depends on the nature of the crime committed and how recent it occurred. Criminal
arrest records can be used during workplace investigations to assist the employer prove there is room
for doubt or the person is not involved in the activity under investigation.
Drug Investigations
Workplace drug investigations are important, not only to the productivity of employees, but also the
safety of all employees. Substance abuse increases employer liability, workplace accidents, higher costs
for insurance and workmens compensation costs, workplace violence, and losses in productivity.
Substance abuse can cost the company thousands of dollars annually in losses and accidents.
Employers should establish a standard mandatory drug screen policy for all employees, from the bottom
of the totem pole to the top. It is the employers obligation to provide a drug free work environment for
its employees. Conducting random drug testing that requires testing within 24 hours of notification is a
good practice to prevent substance abuse.
Whenever substance abuse is suspected, it should be investigated immediately. The investigation should
be completed in a timely manner and not drag on and on. Interviews with witnesses and suspects
should remain confidential and the information obtained should not be made available to other
employees. A good example of this is where I work; any internal investigation involving one of us is
always made known to everyone that works there and throughout the police department. The details
and outcome are also made known to everyone and this is done by the supervisors. Even though this is
against departmental policy, nothing is ever done about it. It is very unethical and does nothing for
morale and only adds to the problem.
Sexual Harassment
Unwelcome sexual advances, requests of sexual favors, and other verbal or physical contact of a sexual
nature constitutes sexual harassment when submission to such conduct is made either explicitly or
implicitly a term or condition of an individuals employment, submission to or rejection of such conduct
by an individual is used as the basis for employment decisions affecting such an individual, or such
conduct has the purpose or effect of substantially interfering with an individuals work performance or
creates and intimidating, hostile, or offensive work environment.
Sexual harassment is an ongoing problem in the workplace despite federal laws and guidelines to
prevent it. This kind of behavior causes disruption in the workplace and can lead to legal proceeding
from victims claims of emotional distress. Any and all claims of harassment or discrimination should be
investigated immediately to lessen the impact this kind of behavior creates. If not properly investigated
or allowed to exist, the employer is leaving themselves open for civil litigation.
The victim can be a woman or a man as well as the harasser can be a woman or a man. The victim does
not have to be the one being the focus of harassment and the harassing can offend anyone. Harassment
can occur not only by a supervisor but by a fellow employee, a co-worker, or a non-employee doing
business with the employer. A person can file sexual harassment charges against an employer when
favoritism is shown to a fellow employee as the result of sexual favors that are welcomed by that
particular employee. Using crude and offensive language, indecent gestures, and even telling jokes of a
sexual nature constitutes sexual harassment.
In Jenson v Eveleth Taconite Co 842 Supp 847 (1993) the first class-action case went to federal court.
The case involved a workplace, predominately male, filled with pornographic graffiti, photographs,
cartoons, and other material depicting women as sexual objects in an extremely degrading manner. The
men made derogatory comments whenever they chose and spoke of female workers in terms of their
body parts, frequently propositioning them. The attitudes and speech of the men created a sexualized,
male oriented, anti-female environment. There were reports of sex discrimination in hiring, job
assignments, promotions, compensation, training, and discipline. The women composed only 3%-5% of
the workforce. A claim of sex discrimination based on hostile environment and sexual harassment was
made by the plaintiff. In 2005 a movie, North Country, was made based on this case of sexual
harassment.
Sexual harassment in the workplace continues even today. However, when I first joined the military in
the 1970s, I experienced the same kind of treatment from my fellow airmen and my complaints fell on
deaf ears. There was never anything done about it in hopes that I, and other females, would just go
away. I find it more prevalent in male oriented careers but it also occurs in female oriented careers as
well.


Employee Thefts
Employee thefts cost employers millions of dollars each year and are a major business problem. These
losses are generally passed onto consumers in the way of higher process for products and services. From
small thefts such as office supplies to larger thefts like embezzlement, thefts cost employers money that
is difficult to recoup. Insurance is available and covers some of these losses but not nearly enough and
makes recovery difficult, especially for smaller business.