Kevin Ian Schmidt

Category: Investigative Tips

  • Accident Investigation Training- Intermediate

    Accident Investigation Training- Intermediate

    As you advance your team in a quality accident investigation program, it is imperative to continue their training to improve their skills.

    This accident investigation training is for intermediate level, so it is best recommended to start with the beginner’s training.

    5 Step Investigative Process

    • Response
    • Fact Finding
    • Analysis
    • Corrective Action
    • Follow-up

    The investigation process explained

    This training teaches the 5 steps of a quality accident investigation process, which goes beyond the initial investigation, but rather includes all steps and stresses importance of correcting hazards.

    We provide a beneficial training on root cause analysis, that will assist in the job skills needed for a high quality accident investigation. A quick root cause is imperative during the Response phase of an investigation, so all potential evidence and witnesses can be identified for a thorough investigation.

    During the Fact Finding phase of the investigation, you’ll continue to work towards an in-depth root cause. At this stage, it is recommended to use a root cause worksheet.

    During the Analysis phase of an investigation, this is when it is best to complete the Accident Analysis Report, which includes a full root cause worksheet. This analysis is a complete summary of all aspects of your investigation, including a full review of all written statements.

    The Corrective Action phase of an investigation is valuable to negate the hazard to ensure no one else is injured. This improves workplace safety, and ensures the workplace remains compliant to the OSHA General Duty Clause. I also offer a corrective action template, which is beneficial not just for assigning corrective actions, but also for quality follow-up, the final phase of the investigation process.

    Check Out: Budgeting for Training

    Other resources for safety investigations:

     

    This training is best conducted in a classroom presentation environment, but can also be done a part of a self-learning exercise. The most important aspect is that this training is a part of a continuing improvement of a workplace accident investigation program.

    Download and view the Intermediate Accident Investigation Training below

     

    Incident Investigation Training

     

  • Incident Investigation for Employers

    Incident Investigation for Employers

    As an employer, it is your responsibility to provide a safe working environment for your employees. A great tool at your disposal, often overlooked is incident investigation. So many employers document an incident, taking statements, and cataloging that information away, until the next accident happens. BUT, if you instead investigate every incident, both near miss and injury incidents, you will begin creating a safer working environment, one where every incident is a learn experience, a chance for change, an opportunity to avoid a similar incident in the future.

    Five Reasons to Report and Analyze Incidents

    1) It is a tool for predicting accidents. The value of “near hit” reporting cannot be underestimated. We know that behaviors that cause “near hits” are essentially the same as the behaviors that cause “hits.” The only difference is a fraction of a second or a very small distance. Reporting “near hits” and working to remove the basic causes and the leadership/control problems will reduce accidents. Studies have shown that over 75% of all accidents which resulted in injury or property damage were preceded by similar “near hit” incidents.

    2) The method has been tested. Researchers have tested the concept of “near hit” reporting in two different fields. Firstly, a study in the US Air Force focused on the use of aircraft equipment. During the study, a total of 270 incidents described as “pilot error,” were investigated. By collecting the causes of the errors, it was possible to detect similarities and trends. Secondly, another study carried out by the Bureau of Labor Statistics in the US, set out to evaluate the technique of “near hit” reporting. Their findings make interesting reading.

    1) Reporting and managing “near hits,” proved to reveal factors which were described as “errors and unsafe conditions” which lead to industrial accidents.

    2) The technique was able to identify the basic causes of incidents which led to loss.

    3) Potentially serious industrial accidents were identified by “near hit” reporting.

    3) It is an effective way of reporting incidents. It seems that people are much readier to discuss “near hits” than about personal injury or even property damage. Psychologists assume that this is because there has been no loss and the person may feel that they have contributed to the avoidance of damage or injury. This factor alone may be the reason why people may be more willing to discuss “near hits.”

    There are many reasons for not reporting incidents which cause personal injury and damage.

    1) Fear of blame.

    2) Poor understanding of the need to report.

    3) A feeling that management will use the information against the staff.

    4) Fear of spoiling a good accident record.

    5) An “anti-management” perception.

    In most cases, there are not the same barriers to reporting “near hits.” However, there is a perception held by a small minority that this type of initiative is worthless. The greater number of employees are prepared to understand the value of reporting and acting on “near hits.”

    In a large engineering work shop, the number of “near hits” reported were shown on the same graph as the lost time injuries. The evidence was plain. As “near hit” reporting increased so lost time accidents dropped, and as “near hit” reporting declined, so the lost time accidents increased.

    The information collected from the “near hit” reports form the basis for understanding the causes of accident in the work place.

    4) It can be used to inform and educate the staff. When “near hits” are reported, the information can be used in a team talk to make the rest of the staff aware of the potential danger of a method or procedure. This information can be used throughout the country where there are work groups operating in a similar fashion. Regular team talks which include “near hit” information send an important message from the team leader to the staff. “Your safety is important to us.” In addition, when team members report “near hits,” they will feel that they are contributing to the improved safety of the work place. The team leader can use positive reinforcement to recognize this contribution of the team member.

    5) It is a way to develop leadership skills. The use of “near hit” reporting can help a team leader to develop important leadership skills. He or she can use of positive reinforcement to motivate the continuing reporting of “near hits.” Once a “near hit” has been reported the team leader can develop the use of questioning techniques to explore the circumstances surrounding the incident and put in place a method of prevention. Careful use of these skills will allow team members to contribute to the overall safety in the area and even have some influence in other work places.

    This training explains how to investigate an incident, if you need more components of an incident investigation program, check out what else I have here

    Beyond simply investigating the incident, you need to know how to root cause the incident as part of the investigation.

    Download & view the Incident Investigation for Employers Training below:

    Incident Investigation Guide – OSHA

     

  • Simple Incident Investigation Policy

    Simple Incident Investigation Policy

    Accidents happen in the workplace. It’s an unfortunate but true fact. In despite of all the hard work companies do to avoid accidents, occasionally something goes wrong. When it does it’s important to conduct a thorough investigation into what went wrong. After all, it’s even more of a tragedy if someone else gets hurt or killed in the same way and there was something that could have been done differently to stop it.

    The cause of some accidents is obvious, but that’s not always the case. By following clear and concise steps, investigators can uncover underlying causes of a mishap. An Accident Investigation has two main goals. One is to determine the cause of the accident. The other is to use this information to prevent similar accidents from happening in the future. Everyone in a company should be ready to help investigators solve the investigation. While this may be difficult for some employees, they need to be reminded of the ultimate goal of the investigation – a safer workplace.

    How to Investigate an Accident Or Incident in 9 Easy Steps

    Get the overall picture by interviewing the people who know most about the accident or incident. This will enable you to carry out a thorough accident investigation.

    1) Create the “right” environment. Create an atmosphere of co-operation. Explain reason for the interview- prevention. Ask for person’s help. Ask your questions and listen carefully to the answers. Make notes and draw diagrams.

    2) Interview as close as possible to the site of the accident/incident. This helps the accuracy of the witnesses because they are able to point and sometimes demonstrate what actually happened. At this stage, make absolutely certain you know where the witness was standing when the accident or the incident took place. This is because sometimes witnesses could not have seen what actually happened from where they were standing. There is a tendency for witnesses to assume what actually happened, even when they didn’t see it.

    3) Discussions should be private When you interview the witnesses, interview them one at a time. This will give you better information and there is no conflict with witnesses arguing about what happened. If descriptions don’t match there is only one option. Re-interview

    4) Get the person’s perception of the accident/incident. Make sure that there is no outside influence or bias and as you listen remember to try not to interrupt. At this stage you are gathering information only. There is no need to evaluate the accident or the incident until you have collected all the information possible.

    5) Listen more than you talk. Encourage the person to talk, listen to the answers and help the person not to become defensive or accept any blame for the accident or incident. Remember, the more they talk, the more you will learn.

    6) Repeat the story back once you have heard it Once you have heard the witness’s account firstly check your understanding by repeating the account back to the witness. This gives the person a chance to hear what they’ve said and correct or confirm it. The repetition allows the words and meanings to be matched.

    7) End the discussion by thanking the person for their help. Thank the person for their help and cooperation and repeat that you are gathering information so that this sort of incident can be prevented in the future.

    8) Note vital information at once. Make notes rather than try to write down the complete dialogue unless the person gave you some really critical information.

    9) Keep open the opportunity for further communication. Give the person the opportunity to get back to you in case they remember something at a later date. It always pays to go back to the person the following day or so, and have a casual conversation about the incident. Often vital information is a gathered at this point.

    Check Out: Incident Investigation: Top 10 Mistakes

    While a lot can be learned from accidents, we can learn also learn from “near misses” as well. Those incidents that didn’t involve an accident but could have easily had terrible result. Make sure that near-misses are always reported so that your supervisor can address them. The information learned from a near-miss is far less expensive than what is learned from an accident. Remember, prevention is always the best cure.

    No matter how safe workers do their jobs, an accident can always happen. Make sure you follow the basic steps to enable accident investigators to do their job correctly and find the “root cause” of the incident. An accident investigation can create a safer workplace and that’s good for everyone. Who knows it might save a life some day.

    Download & view the Simple Accident Investigation Policy below:

    CONDUCTING AN ACCIDENT INVESTIGATION

     

  • 7 Problems Interviewing Witnesses to Workplace Accidents and Incidents

    7 Problems Interviewing Witnesses to Workplace Accidents and Incidents

    There are many problems associated with investigating accidents in the workplace.

    Seven common problems that you may encounter while investigating accidents:

    • Accuracy. Accuracy is a real problem when you are trying to get to the bottom of an incident or an accident. The people that you interview have not been trained to be observant or to be a witness. This means that they are often unprepared to answer questions that require them to be accurate in their recollection. Because their memories will fade with time, its important to interview them as soon as possible after the event..
    • What did they actually see? Many people claim to be witnesses to accidents when they have only seen the results but not the events leading up to the accident itself. For example, if there is a collision between two forklifts, the witness will claim to have seen the accident and then make an assumption regarding the cause when they have seen the result. If they are a witness to an impact accident, ask them where they were standing at the time of the impact. This will reveal whether or not they saw the events leading up to the incident.
    • Protecting a workmate. Regrettably, in tight knit working communities, a witness will often try and minimize the actions of a workmate. They do this with the best of intentions but provide a considerable barrier to discovering the root cause of the accident. Their loyalty is misplaced but understandable. Often, with shrewd questioning you will be able to get to the truth of the matter.
    Need more components for your incident investigation program? Check out what else I have to offer here
    • Conflicting statements. When you go over your notes, you will notice that some of the statements are in direct conflict with each other. At this stage you have to remember that they are relying on their memory and interpretation of the events. This is not deliberate misinformation but the way we humans perceive events. Your only recourse is to go back and re-interview those people who have given you conflicting information.
    • Interpretation of questions and answers. This can be a difficult situation which occurs when your questioning is a little bit too open. Sometimes it’s necessary to make sure that your witness understands your question clearly. By the same token, it is very easy to misinterpret their answers. With practice, your questioning technique and your listening technique will improve and become much more accurate.
    Learn 9 tricks for interviewing witnesses to workplace accidents
    • Changing their story. Some witnesses will answer a question and then immediately change their answer because they are thinking about the consequences of that particular answer. This is irritating because it prolongs the questioning process. These witnesses have to be treated gently so that they have sufficient confidence in their answers. You may have to encourage them and give them positive reinforcement when they stick to their original answer.
    • Vague on details. Many people have speech patterns that are vague. As witnesses they are of limited value because they are so hard to pin down on any usable fact. My advice is to be patient, help them to become more accurate and factual until you have information which is usable.
  • Incident Investigation: Top 10 Mistakes

    Incident Investigation: Top 10 Mistakes

    Any professional in the safety & security industry, is probably familiar with writing reports. Writing reports isn’t just a one and done occurrence. Report writing is absolutely essential to successful investigations and case management. This post will explore the purposes and importance of reports as well as provide tips for beginning report writers to refine their skills. There are negative implications to unskilled report writing and may end up halting a person’s career to a standstill. Although many of today’s investigative reports can be completed in preformatted forms, even in an online/mobile format, there are still many scenarios in which one will not have this luxury. It is important to gain a thorough understanding of the purpose of report writing and the uses behind it.

    Let’s examine a few of the ways in which reports are utilized in the workplace:

     

    1.Accidents in the Workplace

    Incident reports are crucial for corporations and businesses, especially those that are open to the public. Retailers, for example, must be keenly aware of the safety risks that are involved. With high traffic volumes, shelves and displays, potentially dangerous merchandise, escalators, etc., an accident is bound to happen, whether it is a customer or an employee. Filling out a thorough accident report immediately after an accident takes place will save the employer a lot of hassle in the future should any medical or legal issues ensue from the incident. The report can clear the employer of any liability in civil proceedings against the business. These reports are to be written by the individual responding to the scene of the incident.

    Worker’s compensation and insurance fraud is a rapidly growing area of crime with the advancement of technology and the depressed economy. Some employees will jump at the chance to exploit and abuse the system. Writing a report immediately after a workplace incident will lower the risk of worker’s compensation or insurance fraud significantly. It can also alleviate the risk of civil liability should the employee decide to sue the employer afterwards. Employers who maintain an unsafe workplace riddled with safety hazards will find themselves embroiled in administrative fines and civil litigation.

    2.Preliminary Reports

    Preliminary reports are commonly written by uniformed officers when responding to a complaint or a crime. When writing a preliminary report, it should include any all information pertinent to the investigation. This includes information on the individual making the report or the victim, a thorough description or identification of the person making the complaint, details of the incident that transpired, and any other relevant information that can be collected. As Dempsey writes, the preliminary report is like a birth certificate in a case because it begins the investigation (2002, 86). A follow up report is later written to keep tabs on the progress of the investigation and include any new or relevant information gained.

    3.Administrative and Managerial Entities

    The reports one writes throughout his or her career are almost always going to be viewed by third parties. In almost all cases, administrative agencies and supervisors will require that subordinates submit regular reports for the purpose of reviewing progress of an investigation and keeping track of employee productivity. These are sometimes called supervisory review reports (Dempsey, 2002, 84) These reports, when done on a regular basis, help supervisors to keep track of subordinate productivity and the progress being made on all cases.

    4.Chain of Custody and Lab Reports

    Evidence will change hands throughout the course of an investigation. In this case, anyone who claims custody of the evidence must complete a chain of custody report. The report should include a detailed, chronological history of the evidence and should contain a detailed description of when and to whom it changed hands. If there are any discrepancies about the chain of custody, it will be hard to prove in court that the evidence shown at trial is the same that was collected at the crime scene. In this case, it is best to limit the transfer of evidence to as little as possible.

    Lab reports are written regarding any form of evidence that requires a laboratory examination. A request for a laboratory analysis is sent to the lab by the investigator. The forensic analyst who conducted the analysis will then submit a report detailing the results of that analysis. The United States Environmental Protection Agency (EPA) provides instructional courses on sampling procedures, data acquisition, chain of custody, what it is used for, and how the forms are properly used to pass testing samples from one link of the chain of custody to another.

    5.Observations

    When assigned to conduct surveillance, a report written by the investigator conducting the surveillance is called an observation report. The report details all actions that the investigator witnesses during the course of the investigation.

     

    These are just a few of the many kinds of reports the investigator may come into contact with throughout the course of his or her career!

     Need more components of an incident reporting program? Check out what else I have to help you out here

    Tips on Investigative Report Writing

    1. Follow the Principle of Expansible Significance

    Minor crimes and inconsistencies often turn out to be major crimes or loss events. “Minor is major”! Get all the facts. This includes even the smallest of details. Even if it may seem irrelevant at the time, little pieces of information may manifest themselves as much more significant throughout the course of the investigation.

    2. Write Professionally, but Not Pompously

    The report you are writing won’t just be read by people within your department or your field. Don’t assume that everyone will understand certain things you write in the report, because it will only serve to confuse the readers and will damage your credibility. Keep the high-level vocabulary to a minimum and refrain from use of

    any lingo or vernacular language. “Police talk” may work on the beat between two partners, but it will not work in a formal report.

    3. Write Neatly and Concisely

    The more one writes reports, the easier it will become to spill the words out and get it right after a few tries. A good report will consist of thorough, detailed information but will also be fairly brief and to the point. This may be difficult to do at first, but revising and rewriting the report will aid in honing one’s writing skills. Although many of today’s police and investigation departments are driven by technology and many officers can file reports from their computers, there are instances where they will need to be hand written, especially in times of emergency. Write legibly and make sure others will be able to read the writing.

    4. Keep Reports Organized

    All reports, documents and any audio/visual information should be stored and preserved. Many choose to compile a case folder that keeps everything intact and preserved should it be referred to in the future. This is especially important because it will serve as an easy method of reference and will help to jog the investigator’s memory. Some cases don’t go to court for months or even years, and it is impossible to remember every single detail of the investigation. Having a secure and effective method of storage for cases is extremely beneficial. Always have a hard copy of the report even if it is saved on a computer in case of a power surge or a scenario in which the file couldn’t be accessed or is deleted.

    5. No Notes Equals No Report

    The accuracy and quality of investigative reports is contingent upon the field notes. Constantly writing things down during one’s day-to-day routines will help to establish a solid foundation for a report should an incident arise. During an investigation it is also crucial to follow this strategy. The notes should be factual and accurate. These notes may include but are not limited to:

    • Names of witnesses
    • Notes from interviews of witnesses
    • Vehicle descriptions
    • List of items stolen/broken
    • Names/contact information of victims
    • Time the incident occurred
    • Arrival times of emergency personnel
    • Security or safety hazards such as nonworking lights, broken floor tiles, leaking pipes, etc.
    Check Out: How to Investigate an Accident Or Incident in 9 Easy Steps

    Other Interesting Suggestions that Will Make One a Better Report Writer

    Many people often use the word “did” right before the verb. It is annoying for supervisors and judges to constantly read things such as “I did move the box, I did observe Joe walk through the door”, and “I did enter the facility” and should be avoided. It’s certainly okay to use “did not” to indicate an omission of action, however.

    Try to keep words in the report to less than three syllables.

    Keep the report properly punctuated so that readers can quickly decipher where one idea ends and another begins.

    Jack Dempsey’s NEOTWY format should always be used (2002, 87). The word is an acronym derived from the last letters of When, Where, Who, What, How, and Why. It may sound silly, but it is easy to remember.

    Does the report make sense? Try reading it aloud. If it doesn’t make much sense to the officer or investigator, it won’t make sense to a judge or supervisor.

     

    What Case Folders May Contain

    • Index sheet
    • Incident report
    • Follow-up or investigatory action reports
    • Interview/Interrogation reports
    • Record checks
    • Photographs, sketches, visual evidence
    • Evidence reports
    • Chain of custody reports
    • Computer printouts
    • Audio/video material
    • Medical examiner reports

    View & Download the Top 10 Incident Investigation Mistakes below:

     

    incident investigation top10 mistakes
  • How to Investigate an Accident Or Incident in 9 Easy Steps

    How to Investigate an Accident Or Incident in 9 Easy Steps

    When an accident happens in the workplace, it is critical to conduct an accident investigation to determine the root cause of the events that led to the accident or injury. The point of the investigation should never be to assign blame, but rather to uncover the factors that led to accident so you can take corrective action to prevent it from happening again.

     

    Get the overall picture by interviewing the people who know most about the accident or incident. This will enable you to carry out a thorough accident investigation.

    The 9 steps to conducting an effective accident investigation interview are:

    1) Create the “right” environment. Create an atmosphere of co-operation. Explain reason for the interview- prevention. Ask for person’s help. Ask your questions and listen carefully to the answers. Make notes and draw diagrams.

    2) Interview as close as possible to the site of the accident/incident. This helps the accuracy of the witnesses because they are able to point and sometimes demonstrate what actually happened. At this stage, make absolutely certain you know where the witness was standing when the accident or the incident took place. This is because sometimes witnesses could not have seen what actually happened from where they were standing. There is a tendency for witnesses to assume what actually happened, even when they didn’t see it.

    Check Out: 7 Problems Interviewing Witnesses to Workplace Accidents and Incidents

    3) Discussions should be private. When you interview the witnesses, interview them one at a time. This will give you better information and there is no conflict with witnesses arguing about what happened. If descriptions don’t match there is only one option. Re-interview

    4) Get the person’s perception of the accident/incident. Make sure that there is no outside influence or bias and as you listen remember to try not to interrupt. At this stage you are gathering information only. There is no need to evaluate the accident or the incident until you have collected all the information possible.

    5) Listen more than you talk. Encourage the person to talk, listen to the answers and help the person not to become defensive or accept any blame for the accident or incident. Remember, the more they talk, the more you will learn.

    Need more components of an Incident investigation program

    6) Repeat the story back once you have heard it. Once you have heard the witness’s account firstly check your understanding by repeating the account back to the witness. This gives the person a chance to hear what they’ve said and correct or confirm it. The repetition allows the words and meanings to be matched.

    7) End the discussion by thanking the person for their help. Thank the person for their help and cooperation and repeat that you are gathering information so that this sort of incident can be prevented in the future.

    8) Note vital information at once. Make notes rather than try to write down the complete dialogue unless the person gave you some really critical information.

    Check the Root Cause Book I have published on Amazon

    9) Keep open the opportunity for further communication. Give the person the opportunity to get back to you in case they remember something at a later date. It always pays to go back to the person the following day or so, and have a casual conversation about the incident. Often vital information is a gathered at this point.

  • Guidelines for Investigation Interviews

    Guidelines for Investigation Interviews

    Definition
    Employee Investigation Interviews are set up to review claims made by employees regarding discrimination, harassment, violence, or other prohibited behaviors in the workplace.

     

    The Investigation Interview Process

    When you’re conducting employee investigation interviews, the interview process should be carefully planned, followed, and documented to help mitigate exposure to litigation. The sequence of interviews should generally start with the complainant, followed by the accused, and then any witnesses or other parties involved.

    While there is no law mandating how quickly an investigation must begin, a good rule of thumb is to start the investigation within two business days of receiving the complaint. A prompt investigation will offer several advantages:

    • Memories are fresh.
    • Witnesses and other relevant parties will still be available.
    • Gossip or rumor mills are less likely to interfere with information.
    • Witnesses will less likely be tampered with or intimidated.
    Check out my post Factors to consider in an investigative interview for more tips on the process

    Documentation

    Take detailed notes during each interview. Make sure you are only documenting factual information and observable facts about the interviewee’s behavior and demeanor during the interview. Avoid assumptions or opinions about what is said or what you believe to have happened. Stay away from documenting subjective conclusions based on the interviewee’s behavior or demeanor during the interview. Notes should include the following:

    • Administrative details such as name, job title, and date of interview
    • Warning statements such as “keep information confidential,” “no retaliation,” etc.
    • Key factual points of the interview
    • Non-verbal expressions like tears, failure to look interviewer in the eye, and nervous affectations

    Maintain all documentation related to the investigation in a separate, confidential file apart from the employees’ general personnel files. Limit access to investigation files to only those with a legitimate need to know.

    Check Out: Effective Communication Skills – NONVERBAL

    Questioning Techniques

    Prepare questions in advance:

    • Ask who, what, where, when, why, and how.
    • Ask questions that require events be stated chronologically. This allows the investigator to compare different versions of the story.
    • Although you should plan your questions in advance, additional questions may arise based on the information you gather. Don’t limit yourself to the planned questions; ask follow-up questions to clarify.

    Keep these few tips in mind when interviewing:

    • Begin with open-ended questions, then transition to more detailed, specific questions.
    • Avoid asking tough questions first; start with simpler questions to put the interviewee at ease.
    • Ask one question at a time and do not move on to the next question until you have all the information needed. Do not interrupt.
    • Ask for specific examples.
    • Remain neutral; don’t formulate an opinion before all the facts have been gathered.
    Check Out: Effective Communication Skills – LISTENING

    Interviewing the Complainant

    When you begin the interview, state the purpose of the meeting and restate relevant company policy. Inform the complainant that the company takes all complaints seriously and will conduct a prompt and thorough investigation. Thank the complainant for bringing the matter to the company’s attention and assure the person the information will be confidential to the extent possible.

    Ask for a full explanation of the situation. Ask specific questions such as:

    • What happened?
    • Who said what?
    • Where did the incident take place?
    • What time did it happen?
    • Who was present?

    When concluding the interview, ask if there were other witnesses; document the response even if the complainant says no. Summarize the interview with the complainant and have the complainant confirm that it is accurate. Document the response to the confirmation question. Instruct the interviewee to provide any additional information that may not have been covered. Remind the interviewee that all information should be kept confidential. And last, but definitely not least, reiterate the no-retaliation policy, telling the interviewee to report any retaliation incidents.

    Interviewing the Accused

    When you start this interview, let the accused know that you are conducting an investigation of wrongdoing on behalf of the employer and that he/she is the subject of the investigation. Inform the individual of the accusations so the accused can respond and reiterate confidentiality and no-retaliation policies.

    Ask the accused for a response to the allegations of wrongdoing; ask clarifying questions about who, what, where, when, and how the incident occurred. Ask if the accused understands the company policy regarding the situation. Also, ask if there is anyone who can corroborate the accused’s story.

    When you conclude the interview, ask the accused if there were any witnesses. Summarize the account just provided and have the accused confirm the account is accurate as it was told. Ask the accused to report any additional information that comes to mind after the interview is over. And last, remind the accused of the confidentiality of the information provided and the no-retaliation company policy.

    Interviewing the Witnesses

    When you are ready to interview any witnesses, make sure you talk to each one individually. Explain the purpose of the interview and ask the witness for any information about the situation. At the end of the interview, remind witnesses of the confidentiality of the information provided and the no-retaliation policy.

    When you conclude the interview, ask the witness if there is anyone else the interviewer should talk to; document the answer, even if it is no. Summarize the witness’s statement and confirm with the witness that it is accurate as reported.

    Interviewing each person thoroughly and carefully in an employee investigation is critical to getting the facts – from all involved – correct. Remember, someone’s job or life could be adversely affected by the outcome of your investigation. Do your very best to conduct unbiased and clear interviews.

     

    These investigation interview tips will help keep you sharp, but if you need professional assistance, or want to conduct a training for your staff, please feel free to contact me.

  • Factors to Consider in an Investigative Interview

    Factors to Consider in an Investigative Interview

    The interview element of a workplace investigative interview isn’t easy and it can be even more difficult when there are conflicting responses to investigative interview questions. The number of people interviewed can also affect the investigator’s ability to determine credibility. Too few (ie, just the complainant and the subject) and it becomes one person’s word against the other. Too many (ie, multiple witnesses) and some may have conflicting stories due to bias. The EEOC recommends weighing the credibility of each person interviewed in order to find out what actually took place during the incident.

    Factors to Consider:

    The EEOC has put together a list of 5 factors to consider when trying to determine the credibility of statements and responses made during the interview process. However, it is also important to note that these are “things to consider” and not the “be all, end all” for determining credibility.

    1. Inherent Plausibility:

    Watch for the presence and order of key facts presented by everyone interviewed.

    Is the testimony believable at face value? Does it make sense? Watch for the presence and order of key facts presented by everyone interviewed. You may also want to consult any materials in the workplace that could back up the facts of the story- security videos, whereabouts of the employees in the workplace, timing of events, etc.

    2. Demeanor:

    Did the person seem to be telling the truth or lying?

    Check Out: Effective Communication Skills – LISTENING

    3. Motive to Falsify:

    Did the person have a reason to lie? Does the person feel threatened for any reason? Bias and opinion can sometimes get in the way of telling the truth. Consider any connections that people have to the incident or to the complainant and the subject. Could these connections cause them to lie because they know their friend will get hurt? Do they fear retaliation from others for being involved in the interview? Address these issues and enforce your zero-tolerance policy when it comes to retaliation in the workplace.

    Learn about the PEACE Method of investigative interviewing for a better way to conduct interviews.

    4. Corroboration:

    Watch for commonalities or discrepancies in witness stories and the claims made by the complainant and the subject in order to get a better picture of what took place during the incident.

    Is there a witness (such as an eye-witnesses, people who saw the person soon after the alleged incidents, or people who discussed the incidents with him or her at around the time that they occurred) or physical evidence (such as written documentation) that validate the party’s testimony? The information gathered from these individuals needs to be weighed and considered for accuracy- if the witnesses have any bias towards either individual involved in the incident, chances are their story will reflect it. Watch for commonalities or discrepancies in witness stories and the claims made by the complainant and the subject in order to get a better picture of what took place during the incident.

    5. Past Record:

    Did the alleged subject have a history of similar behavior in the past? Many times, past behavior is predictive of future behavior, but is not always the case. It is beneficial to be aware of repeat offenders in the workplace and what conclusions and actions were taken in their previous cases.

     

  • Using Social Media in Investigations

    Using Social Media in Investigations

    As every moment of people’s lives—both inconsequential and monumental—have spread onto Facebook, Twitter, Instagram, LinkedIn, SnapChat, TikTok, and other platforms, a record has been created of comings and goings, personal opinions and piques, that can be a trove during investigations.

    First off, What is a Social Media Investigation?

    A social media investigation looks into the social media posts, status updates, photos, and conversations of an individual. You might require a social media investigation for a court case, custody battle, or as part of a background investigation. This can be used as evidence in court cases to support alibis and provide supplementary evidence, for risk assessment, and for active monitoring.

    What you’re searching for will depend on the investigation.

    For the average court case, social media can be searched to establish a foundation of character, verify, or disqualify an alibi, and find supporting evidence. This includes looking at the location tags for Facebook, Twitter, and Instagram posts, verifying that the posts were original, and identifying what other individuals associated with the case are involved. For some investigations, like for crimes against minors, alerts and searches can be set up for specific search terms, and it can be discovered what type and age of individuals the person is interacting with.

    For a domestic investigation, you might search for photos of your partner that support your suspicions of infidelity, or check the location data on posts on Twitter to verify he or she is where they say they are. Internet messaging, Facebook messages, and Twitter direct messages can also indicate whether or not the individual is staying faithful.

    A custody case can involve looking at photos posted across platforms to identify who the individual is associating with. Twitter posts could indicate whether the individual is suited and trustworthy for retaining custody, and a Tumblr investigation can reveal the individual’s priorities, thoughts, and intentions.

    Any case involving possible drug use can mean searching for photographs and posts across platforms that would indicate potential drug use, as well as a search for Tumblr posts of images or comments, reblogs, that support drug use. This type of investigation includes searching and setting up alerts for specific terms relating to drug use. In some cases, a sting can be set up to see if, through internet messaging services, the individual is dealing or affiliated with a dealer.

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    When it comes to mining social media for potential evidence, content can broadly be divided into two categories:

    • Incriminating content that subjects inadvertently upload themselves: People are so used to sharing their activities on social media, that they’ll occasionally share something that incriminates them, or contradicts their legal claim, without thinking. For example, an insurance fraudster who claimed that a vehicle accident had left her severely debilitated was outed when investigators found photos of her snowboarding and scuba-diving on her social media accounts.
    • Incriminating content uploaded by third parties: Just because someone isn’t very active on social media—or their privacy settings don’t allow outsiders to see much on their accounts—doesn’t mean that you can’t use social media to find useful evidence. In the case of a major car crash, for instance, it’s very possible that a bystander uploaded footage of the accident to Twitter, Facebook, or YouTube. One great example is a 2015  case, during which a man claimed that he’d wrecked his $60,000 Corvette while driving on the Interstate. Unfortunately for him, investigators found YouTube footage of the sportscar being crashed into a barrier during a drag-racing event.

     

    So, now we have talked about WHAT a social media investigation consists of, let’s talk about if you SHOULD or CAN do a social media investigation.

    Social media postings may also constitute evidence or provide leads to potential witnesses. For example, many of the far-right agitators behind the 2017 Unite the Right rally in Charlottesville, Virginia openly coordinated their mayhem online. A number of their posts appear in the complaint against them and will likely be entered into evidence at trial.

    Social Media Investigation Findings as Evidence

    Wall posts, status updates, photos, check-ins and tweets have all been used as evidence in workplace investigations. In the Zimmerman v. Weis Markets Inc. case, Zimmerman was an employee of a subcontractor of Weis Markets and was seeking damages for an injury that occurred at work. Zimmerman claimed that an accident seriously and permanently impaired his health.  Weis Markets reviewed the public portions of Zimmerman’s Facebook and MySpace pages, and felt that there might be some additional information to refute the damage claims in the private sections of his profile.

    On the public portions of his profile, the company found photos of Zimmerman engaging in some of his favorite activities after the accident took place at work. They knew the photos were from after the accident because his scar from the accident was visible in the pictures.

    The court decided that Zimmerman had to hand over his passwords and login information to the counsel for Weis Markets so that they could access the private sections of his Facebook and MySpace accounts. The opinion released by the court said:

    Zimmerman voluntarily posted all of the pictures and information on his Facebook and MySpace sites to share with other users of these social network sites, and he cannot now claim he possesses any reasonable expectation of privacy to prevent Weis Markets from access to such information.

    Below are a few key cases involving social media as evidence.

    • State v. Eleck
    • Rene v. State
    • Bland v. Roberts
    • Thompson v. Autoliv Asp, Inc.
    • Richards v. Hertz
    • State v. Tienda
    • Tompkins v. Detroit Metropolitan Airport

     

    One of the biggest hurdles to social media becoming a staple in the courtroom has been provability. Most courts require metadata and MD5 hash values for evidentiary validation and to establish chain of custody, applying Rule 901(b)(4) of the U.S. Federal Rule of Evidence (see Lorraine v. Markel American Insurance Company or State v. Tienda).

    Metadata –

    Metadata can be a laundry list of items, including unified resource identifier, item type, parent item, thread id, recipients, created time, updated time, link, comments, and picture url, to name a few.

    MD5 Hash Value –

    MD5 hash value is a one-way cryptographic hash function that is used to verify data integrity. It is a 32 character hexadecimal string of numbers and letters that has a 1.7 undecillion (that’s 36 zeros) chance of being replicated . In layman terms, the chances of the MD5 hash being replicated are about the same as someone winning the powerball 32 times in a row.

    Courts have rejected simple printouts of social media posts, citing inadequate authentication (see State of Connecticut v. Eleck). As an extension of provability through MD5 hash values and metadata, we can also provide expert testimony to validate evidence.

     

    What Employers Need to Consider

    You won’t always be granted permission to obtain login information and passwords from an employee under investigation. Be aware of the Patterson v. Turner Construction Company to remind employers that their requests must be “made in the right kind of case, at the right stage of the case, and have the right scope.”

    Employers also have to be careful about how they access information posted on an employee’s social media profile. Attorneys and investigators cannot misrepresent who they are in order to get access to join their opposition’s private social media network. For example, you cannot create an account under an alias, “friend” the employee under investigation and then expect to use that information to support your case – the evidence won’t be admissible.

    Principle: an investigator is almost always prohibited from using misrepresentation or dissemblance to obtain information, and it is evident that this injunction applies to social media investigations. In New York, as in most states, conduct involving dishonesty, fraud, deceit, or misrepresentation is prohibited under NY Rules of Professional Conduct, Rule 8.4 (c). Further, it is axiomatic that lawyers may not violate the rights of third parties when obtaining evidence. Most jurisdictions have adopted ABA Model Rule 8.4(a), stating that an investigator’s unethical acts may be imputed to the attorney. Even in states that have not explicitly adopted it, there is “substantial case law that supports the proposition that the duty of an attorney. . . not to deceive extends beyond the courtroom.”

    Bar associations have also addressed the question of how investigators may contact people on social media. The New York City Bar Association says investigators may contact unrepresented parties without violating ethical rules provided that there are no overt misrepresentations. The San Diego County Bar Association takes a stricter view, requiring that even where contact or “friending” may be otherwise proper, an attorney should not make contact with an individual without disclosing that she is an attorney and the purpose of the contact. When investigating in different jurisdictions—and keeping in mind that most social media companies are headquartered in California—it is wise to adopt the more restrictive guidance.

    Advice for Using Social Media During a Fraud Investigation

    Of course, near-constant content creation has a major downside: because of the sheer amount of social media content out there, finding that crucial piece of evidence isn’t always easy. For this reason, social media investigation has become its own specialized field, and in order to use it effectively, you have to be systematic in your approach.

    With that in mind, here are five tactics to use when collecting social media content as evidence during a fraud investigation:

    • Consider all the platforms: When it comes to looking for online evidence, Facebook and Instagram tend to be the most useful platforms, but there are many others worth considering. In fact, there are around 200 widely-used social media sites at the moment, so if you’re limiting your investigation to the top two, or three, you could be missing out on crucial evidence. Just consider the December 2019 case, during which a claim of serious physical injury was proved false with posts of a 10-mile run and a 20-mile bike ride on the fitness-oriented social media platform Strava.
    • Use tools to find online profiles: A simple Google search remains a good way of finding a particular individual’s online profiles, but other excellent tools also exist. Search tools like Pipl, Peoplefinders, PeekYou, and Classmates can all be used to identify social media profiles. If you have an image and would like to see where it appears online, TinEye is another great tool.
    • Always obtain evidence ethically and legally: It’s important to stay on the right side of the law. While law enforcement might sometimes be able to create fake social media profiles to investigate suspects, law firms and fraud investigators don’t have that same freedom. And even API tools that were once very useful for collecting social media evidence are now creating severe preservation challenges thanks to privacy concerns. So, when collecting social media evidence, focus only on content that you can view and capture legally—and use a browser-based evidence tool to collect it.          
    • Consider someone’s social connections: While an individual being investigated might be clever enough to utilize strict social media privacy settings and refrain from posting incriminating content, they probably won’t be able to keep all their activities hidden. As mentioned earlier, a bystander might upload an incriminating video to YouTube. Similarly, someone’s friends, family, roommates, team mates, or colleagues might also post useful images and information. Because of this, it’s worth exploring the accounts of people in an individual’s social circle, as well as any pages belonging to an employer, association, sports team, etc.
    • Make sure evidence is defensible: Collecting incriminating evidence is only half the battle—legal teams also need to be able to convince other parties of the information’s authenticity. While taking a simple screenshot might seem like a quick and easy way of collecting evidence, it’s all too easy for the person under investigation (or their legal

    Five Tips for Effective Social Media Investigation

    1.  Google And Bing Are Your Friends

    Never underestimate the power of your favorite search engine. Many people don’t realize how much information is available about almost everyone via the internet. Simply searching your subjects name might uncover surprising results.

    Another easy search engine technique is reverse image search. Sometimes an image search reveals social media accounts, online dating profiles, employers, personal blogs, and a wealth of other resources. Use critical thinking when evaluating the results as some phishers, scammers, and catfishers steal people’s pictures to use to build false profiles.

    1. Look Your Subject Up On Social Media

    Social media offers hints to a subject’s location, lifestyle, and interests. According to Pew Research, 48% of social media users report finding each channels privacy settings difficult or confusing. As a result, many leave some or all of their information public. A public social media profile is one of the first visits for any investigator.

    Even when the subject uses privacy settings, there may still be publicly posted information on major channels like Facebook and Instagram. Facebook’s graph search may uncover unexpected gems as many people allow the public to see photographs they are tagged in. Insurance investigators, divorce attorneys, potential employers, and debt collectors have all uncovered valuable information and evidence of a subject’s lifestyle and character simply through casual, candid photographs posted on Facebook, Snapchat, or Instagram.

    Savvy investigators also look at less personal social media accounts such as Pinterest. Even though users are less likely to post telling, personal details, these channels can indicate location and interests.

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    1. Look at Your Subject’s Friends’ Accounts

    Many people allow friends of their friends to see even private details. Also, sometimes friends with public profiles may comment on photographs, location check-ins, or status updates from friends with private accounts.

    A recent study uncovered that nearly 50% of all social media users accept friend requests from strangers. Be aware that many social networks forbid false profiles.

    1. Take Screenshots To Preserve The Evidence

    Since social media posts are ephemeral, your subject may remove embarrassing or incriminating content. Savvy investigators keep a record of these posts including a screenshot. Be sure to track important details about the posts you uncover and find a way to preserve and archive any valuable information.

    1. Try Social Listening Tools

    Social listening tools help businesses with marketing and customer service purposes. Some of these same social listening tools have investigative applications. It would be prohibitively time-consuming to constantly search Google, Bing, and each social network for new updates on your subject. However, you can automate some of this using social listening tools.

     

     

    As investigators, we spend a great deal of time on these platforms reviewing information posted by and about the subjects of our investigations. Modern social media platforms can be a tremendously useful resource. The reason for this is simple: a lot of us are active on social media these days—and we tend to share more than less. At the end of Q1 2020, Facebook reported 1.73 billion daily active users and 2.6 billion monthly active users, with around half of all social media site visits in the United States going to Facebook. Add Instagram’s 500-million daily active users—not to mention the 500 hours of video uploaded to YouTube every minute!—and you’re left with a lot of potential digital evidence.

  • Overview of the PEACE Method: investigative Interviews

    Overview of the PEACE Method: investigative Interviews

    The PEACE Method of investigative interviews is best suited for detailed employee investigations, and you need a strict understanding of the processes involved, so you can execute it properly. I am writing to provide you with a detailed overview of the PEACE Method, so you can decide if you are interested in trying it for your company. If you want to learn more, contact me and we can set up a consultation.

     

    1. The role of investigative interviewing

    eye metricsThe gathering of information from a well-prepared victim or witness interview will contribute significantly to any investigation. An effective interview of a suspect will commit them to an account of events that may include an admission or may provide information leading to further witnesses of benefit to an investigation. Conversely, failure to professionally undertake interviews can have adverse consequences in terms of failure to adhere to legislation, loss of critical material, lack of credibility and loss of confidence. For this reason our Investigators adopt the PEACE framework detailed below.

    1. Principles of investigative interviewing
    2. The aim of investigative interviewing is to obtain accurate and reliable accounts from
      victims, witnesses or suspects about matters under investigation.
      ii. Investigators must act fairly when questioning victims, witnesses or suspects.
      Vulnerable people must be treated with particular consideration at all times.
      iii. Investigative interviewing should be approached with an investigative mindset.
      Accounts obtained from the person who is being interviewed should always be tested
      against what the interviewer already knows or what can reasonably be established.
      iv. When conducting an interview, investigators are free to ask a wide range of questions
      in order to obtain material which may assist an investigation.
      v. Investigators should recognize the positive impact of fairly and considerably conducted interview
      vi. Investigators are not bound to accept the first answer given. Questioning is not unfair
      merely because it is persistent.
    3. The PEACE Interview Framework

    There are five phases to the PEACE framework:

    Planning and Preparation
    This includes what to consider when planning for an interview
    Engage and Explain
    This describes how to cope with the special features of getting an interview started and establishing the ground rules
    Account
    This deals with the central issue of obtaining the interviewee’s account, clarifying this and, where necessary, challenging it
    Closure
    This describes the considerations before closing an interview
    Evaluation
    This consists of asking questions about what was achieved during the interview and how it fits into the whole investigation. Evaluation also includes the development of an interviewer’s skill level, through assessment (self, peer and manager) and feedback

    P – Planning and Preparation

    Planning involves the thought processes in getting ready to interview; and Preparation involves getting the location, the environment and the administration ready. The planning process involves gathering information so as to allow the interviewer to remain in control of the interview, to ensure that it goes in the right direction and that sufficient time is available . The maxim – “Proper preparation prevents poor performance” or other colloquial versions are very relevant. In addition, the interviewer should understand the purpose of the interview, the previous background circumstances, and have a profile of the interviewee. Not every interview is well planned but the more significant the issue, the more likely time nay be invested in preparation. Preparation may involve simply defining the purpose of the interview but it can also involve the set up of the interview space. An assessment of available prior knowledge might also be carried out in advance in order to understand what information is required. Understanding what is required may go some way towards understanding how it can be obtained. The mechanics of the interview space may involve seating, logistics and venue, however they will also involve making any exhibits, if relevant, available for examination during questioning, Good interviewers are investigative whereas poor investigators are merely interviewers. Unless preparation takes place an interviewer may overlook important evidence or miss inconsistencies in the interview information. Unnecessary breaks may then be taken in order to ratify forthcoming information

    E – Engage and Explain

    The opening phase of an interview can be crucial to the interviewer’s success. If the interviewer can engage the interviewee for a few minutes, this can then “warm up” the interviewee and assist that person to engage with the interviewer in a relaxed relationship which may then be continued throughout the interview. Engaging the interviewee is sometimes described as the Rapport stage of the interview. Courtesy, politeness, and understanding cost nothing to the interviewer but can make all the difference between his/her success and failure as an interviewer. Successful interviewers may take time to find out what motivates the interviewees. Once these drivers are understood then it may be possible to take steps to use them. In addition, the formalities of the interview may need explanation. The tape recording, and other procedures, once understood, can help the interviewee to empathize with the interviewer. If this happens then the interviewer will have much greater success. The format of the interview may then be explained – in order to demystify the process and to give the interviewee the impression that he is not going to be tricked. This sense of security may later be challenged by an interviewer who wishes to ask supplementary questions, or to clarify an earlier account

    The interviewee may be asked to comment on matters which have not already been described in the interview or to repeat an earlier explanation in their own words. The interviewer is likely to use the interviewee’s words and repeat them back to him where he or she is checking for a correct interpretation Frequently interviewers will take a great deal of time and put themselves out in order to show consideration for the interviewee. Frequently the interviewee will be asked if he wants a drink or to use the toilet or how he or she wants to be addressed in the interview. Successful interviewers often ask whether there are any time restraints on the interviewee as these concerns may be used to increase the interviewee’s tension later on

    The Interviewer will set the scene by saying that the interview is very important and that everything the interviewee says is important. As a result they should not leave anything out, even if they believe it is of no relevance. The interviewee may even be given the impression that they will have to work hard because they have all the information. This creates the impression that there is something that the interviewee needs to say to the interviewer.

    At any stage of the interview, in order to ensure fairness, the interviewee may be encouraged to ask a question of the interviewer if there is something which they do not understand, if there is something they do not know or if they do not understand the interviewer

    It is unlikely that an interviewee will be encouraged to ask a question for clarification where there is more than one possible meaning for a question, or ask the interviewer to explain something which was inappropriate or leading or to say that they do not feel that it is appropriate for them to answer a question, or refuse to speculate or give their opinion as to hypothetical circumstances

    Once this engagement stage has passed, the witness will be asked to give his account. The interviewer may then ask questions to clarify the account or to interrupt where additional information is required

    The interviewer may also use the engagement stage as training for later in the interview. The interviewer will be establishing their control and getting the interviewee ready for the next stage of the interview. The interviewee will be encouraged to answer simpler questions (with yes or no answers) and the interviewer will be assessing the interviewee’s language and communication
    abilities

    A – Account

    At this stage an interviewer obtains the interviewee’s full account of events. The three main steps are:

    • obtaining the interviewee’s account of events
    • Expanding and clarifying that account
    • Challenging the interviewee’s account with information from other interviewees (if helpful)

    Good questioning and listening skills are required to produce an accurate and reliable account. During the Account process an interviewee may change from being cooperative to un-cooperative so it is important for the interviewer to be fully alert during the interview. The interviewer should be able to detect changes in the interviewee’s language and behavior. For cooperative interviewees such as victims and witnesses, the interviewer may use additional techniques of free recall to begin with and perhaps move on to cognitive interviewing for more advanced interviews. For uncooperative interviewees the interviewer will normally rely on conversation management as a technique. Interviewers are recommended to ask all their relevant questions – even in the face of a ‘No comment’ response. This is so as not to leave any gaps that the interviewee (or their organization) might later seek to fill in as part of a defense. After allowing the interviewee to begin to give their account of the facts, the interviewee may use questioning techniques such as summarizing, empathizing, repeating questions, leading questions, accusing questions, varying the questions to ask about the same circumstances, varying the interviewee’s previous responses to suggest that they have already said something or encouraging different ways or repeated attempts to recall the same or related facts

    The interviewer may need to clarify or challenge the interviewee’s account. This could be because the interviewer is unclear about something the interviewee has said, or because the information is inconsistent with other known information. This “Challenge Phase” of the Account may include challenges to inconsistencies in the Account or it may also include pre-planned challenges. Information may be held back in order to test what the person might say in the absence of certain key facts.

     

    C – Closure

    The Closure stage should ensure there is an understanding on the part of the interviewee as to what has happened during the interview and ensure that the interviewee is certain that the information they have given is accurate in all material respects or that any grey areas have been sufficiently highlighted. The interviewer should confirm that all aspects of the Account have been covered, allowing the interviewee to give any additional information which they think may be relevant and are willing to provide and allow them to be able to give further information in future. It is important to explain what will happen in the next phase of the interview process

    A positive close to the interview may mean an interviewee is able to give any new and relevant information in the future, either through recall or as new information comes to light. The closure may also assist in facilitating future interviews with other interviewees.

    E – Evaluation

    This stage concludes the PEACE interview but not necessarily the interviewing process. The interviewer will, in this section of the interview, often suggest a short break for them to re-review their notes to see if the aims and objectives for the interview have been achieved. In addition, the interviewer will also review the investigation in the light of information obtained during the interview and may reflect upon how well he or she conducted the interview

     

    When conducting an investigative interview, you also need to be aware of the non-verbal indicators.

    Understanding the PEACE Method is an important part of an investigative interview, but know the Factors to consider in an investigative interview is equally important in being successful when using the PEACE Method.

     

    I have gone ahead and made a simple flyer for you, so you can share the PEACE method on your blog, to help your readers.


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