join our investigation: an experiential session · 2017. 9. 28. · roxane macgillivray& wendy...
TRANSCRIPT
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Join our Investigation:
An Experiential SessionFrom Helpline Call to Final Report
Society for Corporate Compliance and Ethics
Las Vegas 2017
Roxane MacGillivray & Wendy Evans
Senior Corporate Investigators
Lockheed Martin
Join Us – Intro and Agenda
• Intake – Meet with our Reporter, Jason
• Investigative Plan Note allegations, potential witnesses
• Evidence Collection: Documentary, Physical, Testimonial
• Conclusion What did evidence lead you to decide?
• Investigative Report Concise summary of investigative efforts
• Feedback/Follow Up Manager, discipline committee, legal, etc.
Wendy Evans Roxane MacGillivray
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It’s going to be one of those days….
You know it’s going to be one of those days…
• When your Reporter comes in wearing sunglasses with his badge covered in a post-it note.
• He says, “I’m anonymous…good to meet you.”
• When the ex-wife of one of your employees reports him—saying he is worthless, lazy and no-good.
• You blurt without thinking, “We feel the same way.”
• When the Reporter uses a hand truck to deliver five boxes of documents.
• She says she wants to have an “off the record” meeting with you. Really?
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You know it’s going to be one of those days…
• When the caller asks if having an affair at work constitutes mischarging.
• You respond, “Maybe. It depends on flex time and breaks.”
• When you tell the employee she can’t keep the iPad gift from the vendor.
• She says, “Thanks a lot, I guess you tell your kids there’s no Santa, too,” and hangs up on you.
• When your Subject screams at you, “I have no #@!) issues with my leadership, do you hear me?!!!”
• Case closed. ☺
THINGS JUST AREN’T ALWAYS WHAT THEY SEEM….
Intake --- Meet Jason
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Reporting Party Debrief…
• What did you think of Jason?
• Was he credible?
• What did he allege?
• Did he name any witnesses?
• Where did you meet with Jason?• In his cubicle – his officemate was wearing headphones, it’s okay!
• In the gym--Jason thinks better after a few cookies and workout.
• In the leader’s conference room – yes, it was a little embarrassing when his team came in for their weekly meeting.
• In your office or by phone (Skype, MeetNow, etc.) – OF COURSE!
What do you tell Jason to expect?
• A miracle. Just sayin’….
• No news is good news.
• Don’t call us…we’ll call you.
• I will conduct a fair, thorough and timely investigation….
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Wait a minute…what did Jason think of YOU?
• He knew I bought his story--hook, line and sinker. I’m all in!!
• He thought I looked bored. He was right. Yes, I’ve heard it all before.
• Well…I think he caught me checking my phone during the interview…maybe…
• He could tell I was an engaged professional who actively listened to his concerns
Be mindful of….
• Confidentiality• Banner Health Decision (NLRB)*
• Represented Parties
• Non-Represented Parties
• Leaders versus non-leaders
• Exceptions
• Special Considerations• CBA-represented Parties – Weingarten Rights
• Parties who say they have a lawyer
• Parties who ask for complete confidentiality
• Parties who ask to record the interview
*Banner Health Systems, 362 NLRB No. 137 (June 26, 2015)
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Investigative Plan
• Who needs a stinking plan? Just go for it and pick up the phone.
• Is the Investigative Plan like a Performance Improvement Plan or something? Do we have to do it?
• Did Sherlock Holmes follow some plan? I don’t think so…
• An investigative plan is your roadmap. • It charts the logical course between where you
are—and where you need to go to reach an investigative conclusion.
Investigation Plan Template - Exercise
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Evidence• Documentary (consider chain of custody)
• Email• Instant Message• Access Records• Conflict of Interest Filings• Public Record Searches
• Physical Evidence (chain of custody/storage considerations)• Hard copy notes, letters, documents• Thumb drives (engage your computer experts, as needed)
• Testimonial (memorialize notes soon as possible)• Manager Discussion• Human Resources• Witness Interviews• Reporting Party and Subject Interviews
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Witness Interviews
• Do your homework
• Keep it Collegial
• BOVINE Approach:• Build Rapport• Open-ended questions• Visualize their story• Introduce clarifying questions• Notice the Gaps• End with Closed Questions
• Challenges• Uncooperative/hostile• Reluctant/Nervous
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Witness – Meet JJ
Witness Debrief
• Did JJ provide useful information?
• Was she credible?
• How did her story compare with Jason’s?
• Should JJ expect:
• Information about who reported this matter?
• Complete confidentiality?
• Feedback about outcome of investigation?
• Information about what other witnesses have said?
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Subject – Meet Jamison
Subject Debrief
• Tell us about Jamison’s demeanor.
• Did he acknowledge the allegations?
• How did Jamison’s story compare to Jason’s? JJ’s?
• How do you handle a hostile/uncooperative Subject?
• Tell us your stories! How did you handle a hostile witness?
• Do you have a policy on investigations process?
• What do you tell Jamison about “next steps”?
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Reaching your Investigative Conclusion
• Review Allegations • How did your investigation evolve?
• What does evidence suggest?
• Standard of “proof”• More Likely than Not
• Good faith investigation
• Courage of your Convictions• Confer with Subject Matter Experts
• Don’t fear the gray areas or elephants in the room
• You are the policy expert
• Document the conclusion
Bringing it in for a landing – Investigative Report
• Format • Case Number, Subject Information, Allegations• Background• Investigative Summary• Conclusions• Policy Citations
• Prepare Outline:• Allegation
• Supporting information/Evidence
• Avoid legal conclusions; medical or legal language
• Third Person; Active Voice
• Keep it concise
• Peer review
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Feedback, Presentation, Follow-Up
• Feedback• Reporting Party – did you substantiate the allegations raised?• Subject – was there a finding against the subject or not?
• Presentation• Be present – don’t allow others to summarize your investigation• Be prepared – know your case inside and out (details not in
report)• Be patient – some committee members will not have read report• Be polite – don’t interrupt discipline committee questions• Be professional – carefully and concisely walk through the story
• Follow-Up• Check with Legal/Regulatory Compliance if legal/regulatory issue• Check with HR/Security if a subject poses threat, has a clearance
or is to be terminated after discipline committee
Now you can RELAX until the next case!
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Thank you!
• Wendy Evans
• 407-462-4478
• Roxane MacGillivray
• 407-394-5822