Investigative Interviewing: Psychology, Method and Practice

by Ferraro (CPP, SPHR), Eugene

  In relaying case facts to co-workers, in order to prevent future problems, an

  organization may defend its action by showing the release of information was done in good faith and communicated to only those employees who needed to know in

  order to properly perform their duties. However, it is imperative that managers and investigators carefully consider the need to openly discuss case facts versus the risks of defamation, false light invasion of privacy, and emotional distress lawsuits. An employer’s good intentioned release of information to quell employee rumors or to reinforce company values may expose the company to undue risk if the investigative foundation for the statements is incomplete or flawed. In the alternative, a company may ask an employee to voluntarily sign a release and waiver from liability for the company to share the case file with co-employees so they will not make similar mistakes.

  276 ◾ Investigative Interviewing

  7.12 Litigation Avoidance and Employee Dignity

  Sound planning and superb execution are two key elements of a litigation avoid-

  ance strategy. As detailed at length in this chapter, poor planning, aggressive fact finding, careless communication, and poor disciplinary and corrective judgment

  frequently produce substandard results and litigation.

  There is another equal, if not more important, critical factor that cannot be

  overlooked: the attitude of the fact finder. An objective fact finder who understands the liability risks and conducts an inquiry in a manner that respects the dignity of all employees is more likely to be respected and less likely to be sued.

  7.12.1 Awareness and Liability Avoidance

  Employers and their fact finders need to recognize the complexity of fed-

  eral and state laws and regulations that are woven throughout every phase of

  modern workplace investigations. These laws impose affirmative duties upon

  employers to restrict the purposes of their investigations to lawful objectives, to confine the scope of inquiry to legitimate business interests, and to use

  only methods of investigation that are lawful in nature. When personal repu-

  tations, incomes, jobs, promotions, and personal freedom are at stake, the

  liability risks are real, and employers must properly identify and manage these overlapping risks.

  7.12.2 Employee Dignity and Liability Avoidance

  The Process of Investigation is an approach that is founded upon a balanced respect for employee and employer rights and dignity. It respects the right of the employer by providing a fair and equitable process to make reasonable inquiry into wrongful workplace behavior that is harmful to the interest of the employer and ultimately to the employees. The process respects the rights and dignity of all employees, not merely those who are the subjects of investigations, to a reasonable scope of inquiry, an objective inquiry, verification of facts, and fair discipline and corrective action when appropriate. The seeds of litigation will find it difficult to take root, grow, and spread in an investigative environment that is reasonable in scope, methods, and outcomes.

  Tip: The most effective ways for fact finders to mitigate litigation and liability are to intelligently plan and carefully execute the plan, and at all times to be objective, straightforward, fair, and respectful of all employees, including their interviewees.

  Legal Challenges and Litigation Avoidance ◾ 277

  Endnotes

  1.

  Fincher v. Depository Trust and Clearing Corp. , F.3d, 2010 U.S. App. LEXIS 9881 (2nd Cir. 2010).

  2. Occupational Health and Safety Act, 29 U.S.C. §654.

  3. Federal Sentencing Guidelines (§8C2.5)(f) and (g).

  4. Salinas v. Forth Worth Cab and Baggage Company, 725 S.W.2d 701 (Tex. 1987).

  5. Saine v. Comcast Cablevision of Arkansas, Inc. , Supreme Court of Arkansas, No.

  02-1388, Oct. 23, 2003.

  6.

  Yunker v. Honeywell, Inc. , 496 N.W.2d 419 (Minn. App. 1993).

  7.

  Paradoa v. CNA Ins. Co. , 672 N.E.2d 127 (Mass. App. Ct. 1996).

  8.

  Greenbaum v. Brooks, 139 S.E.2d 432 (Ga. App. 1964).

  9.

  Kelley v. Stop & Shop Companies, Inc. , 530 N.E.2d 190 (Mass. App. Ct. 1988).

  10. Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966).

  11. United States v. Antonelli, 434 F.2d 335 (C.A.N.Y. 1970).

  12. Commonwealth v. Green, 1973 WL 15308 (Pa. Com. Pl. 1973).

  13. Simpson v. Commonwealth, Unemployment Compensation Bd. of Review, 450 A.2d 305 (Pa. Cmwlth. 1982).

  14. For a short and insightful discussion of some of these points, see U.S. v. Leffall, 82 F.3d 343 (10th Cir. 1996).

  15. United States v. Dansberry, 500 F. Supp. 140 (N.D. Ill. 1980).

  16. For example, see West Virginia Constitution, Article III, section five (right not to be compelled to be a witness against himself) and section six (right to be free from unreasonable searches and seizures).

  17. Simpson, supra at 13.

  18. State v. Muegge, 360 S.E.2d 216 (W. Va. 1987), overruled on other grounds State v.

  Honaker, 454 S.E.2d 96, 59 (W.Va. 1994).

  19. See California, People v. Zelinski, 594 P.2d 1000 (Cal. 1979); Montana, State v.

  Helfrich, 600 P.2d 816 (Mont. 1979); and West Virginia, State v. Muegge, 360 S.E.2d 216 (W. Va. 1987). However, two states have since reversed their positions: Proposition 8, passed by California voters in 1982; and Montana rulings, State v. Long, 700 P.2d 153 (Mont. 1985) and State v. Christensen, 797 P.2d 893 (Mont. 1990).

  20. Hill v. National Collegiate Athletic Association, 7 Cal.4th 1 (1994).

  21. National Labor Relations Act, §157. “Rights of employees as to organization, collective bargaining, etc. [Known as §7 rights] Employees shall have the right to self-organization, to form, join, or assist labor organizations, to bargain collectively through representatives of their own choosing, and to engage in other concerted activities for the purpose of collective bargaining or other mutual aid or protection.”

  22. 29 U.S.C. §158. Unfair labor practices [Known as §8(a) and §8(b) unfair labor practices]. (a) Unfair labor practices by employer. It shall be an unfair labor practice for an employer—(1) to interfere with, restrain, or coerce employees in the exercise of the rights guaranteed in section 7 [29 U.S.C. §157]; …(4) to discharge or otherwise discriminate against an employee because he has filed charges or given testimony under this Act; … (b) Unfair labor practices by labor organization. It shall be an unfair labor practice for a labor organization or its agents—(1) to restrain or coerce (A) employees in the exercise of the rights guaranteed in section 7 [29 U.S.C. §157]: …

  278 ◾ Investigative Interviewing

  23. Labor Management Relations Act: §301, as codified in [29 U.S.C. §185]: §185. Suits by and against labor organizations— (a) Venue, amount, and citizenship Suits for violation of contracts between an employer and a labor organization representing employees … may be brought in any district court of the United States having jurisdiction of the parties, without respect to the amount in controversy or without regard to the citizenship of the parties.

  24. NLRB v. J. Weingarten, Inc. , 420 U.S. 251 (1975).

  25. Pacific Telephone and Telegraph Co. v. NLRB, 711 F.2d 134 (9th Cir. 1983).

  26. Southwest Bell Telephone Co. v. NLRB, 667 F.2d 470 (5th Cir. 1982).

  27. Id. See: Epilepsy Foundation of Northeast Ohio, 331 N.L.R.B. No. 92, at 1, 2000 WL

  967066 (July 10, 2000) (“Board Decision”); Epilepsy Foundation of Northeast Ohio v.

  NLRB, 168 L.R.R.M. (BNA) 2673, 144 Lab.Cas. P 11,129, United States Court of Appeals, District of Columbia Circuit, Decided Nov. 2, 2001; and IBM Corp., 341

  NLRB No. 148 (06/09/2004).

  28. Parsippany Hotel Management Co. v. NLRB, 99 F.3d 413 (D.C. Cir. 1996).

  29 . NLRB v. Unbelievable, Inc. , 71 F.3d 1434 (9th Cir. 1995).

 
30. Horsehead Resource Development Co., Inc. v. NLRB, 154 F.3d 1093 (6th Cir. 1998).

  31. California Acrylic Industries, Inc. v. NLRB, 150 F.3d 1095 (9th Cir. 1998).

  32. National Steel and Shipbuilding Co. v. NLRB, 156 F.3d 1268 (D.C. Cir. 1998).

  33 . Hanley v. Safeway Stores, Inc. , 838 P.2d 408 (Mont. 1992).

  34. Blanchard v. Simpson Plainwell Paper Company, 925 F.Supp. 510 (W.D. Mich. 1995).

  35. Cramer v. Consolidated Freightways Inc. , No. 9855657, No. 9856041, No. 9856154, (U.S.C.A. 9th Cir. En Banc), 2001 U.S. App. Lexis 19157.

  36. 42 U.S.C. 2000e et seq.

  37. Policy Guidance on Current Issues in Sexual Harassment, Equal Employment Compliance Manual No. 120 (Oct. 25, 1988).

  38. Employee Polygraph Protection Act, 29 U.S.C. §§2001-2009.

  39. Wiltshire v. Citibank, 653 N.Y.S.2d 517 (N.Y. Sup. 1996).

  40. Lyle v. Mercy Hospital Anderson, 876 F. Supp. 157 (S.D. Ohio 1995).

  41. For example, see Alaska [Alaska Stat. §20. 10.037] and Delaware [19 Del Code. Ann.

  §704].

  42. 15 U.S.C. §1681 et seq.

  43. 2001 Federal Sentencing Guidelines (§8C2.5).

  44. Kroger Company v. Warren, 420 S.W.2d 218 (Tex. Civ. App., 1967).

  45. Id.

  46. Restatement (Second) of Torts, §§600-605A.

  47. Nipper v. Variety Wholesalers, Inc. , 638 So.2d 778 (Al. 1994).

  48. Gaumont v. Emery Air Freight Corp. , 575 N.E.2d 221 (Ohio App. 1990).

  49. For an extensive discussion on this topic, see Caldor, Inc. v. Bowden, 625 A.2d 959, 330

  Md. 632 (Md. 1993).

  50. Ashcroft v. Mt. Sinai Medical Ctr. , 588 N.E.2d 280, 68 Ohio App.3d 359 (Ohio App.

  8 Dist., 1990).

  51. Paolucci v. Robinson Memorial Hospital, 1995 WL 236743 (Ohio App.) [Unpublished].

  52. Crump v. P & C Food Markets, Inc. , 576 A.2d 441 (Vt. 1990).

  53. Mass. Gen. Laws Ann. ch. 214 §1B.

  54. General Laws of Rhode Island Annotated, 9-1-28.1

  55. Williams v. Brigham & Women’s Hosp., Inc. , 14 Mass.L.Rptr. 438, 2002 WL 532979

  (Mass. Super.).

  Legal Challenges and Litigation Avoidance ◾ 279

  56. California Stat. Ann., Labor Code §1026.

  57. California Stat. Ann., Labor Code, §1042.

  58. California Stat. Ann., Civil Code, §1708.8 (a) and (b).

  59. California Stat. Ann., Penal Code §632.

  60. California Stat. Ann., Penal Code §653n.

  61. Cramer, supra at 35.

  62. Restatement (Second) of Torts §652D. Comment (a).

  63. Restatement (Second) of Torts §652E.

  64. Aranyosi v. Delchamps, Inc. , 739 So.2d 911 (La.App. 1 Cir. 6/25/99).

  65. Wal-Mart Stores, Inc. v. Lee, 74 S.W.3d 634 (Ark. 2002).

  66. Bine v. Owens, 542 S.E.2d 842 (W.Va., 2000).

  67. Smith v. Bell Atlantic Network Services, Inc. , 1995 WL 389697 (E.D.PA.).

  68. Johnson v. K Mart Corporation, 723 N.E.2d 1192 (Ill. App. 2000).

  69. Dietz v. Finlay Fine Jewelry Corp. , 754 N.E.2d 958 (Ind. App. 2001).

  70. Shattuck-Owen v. Snowbird Corp. , 16 P.3d 555 (Utah 2000).

  71. Invasion of Privacy—Intrusion Upon Seclusion (Restatement (Second) of Torts, 2d.

  §652B). One who intentionally intrudes, physically or otherwise, upon the solitude or seclusion of another or his private affairs or concerns, is subject to liability to the other for invasion of his privacy, if the intrusion would be highly offensive to a reasonable person.

  72. Johnson v. Corporate Special Services, Inc. , 602 So.2d 385 (Ala. 1992).

  73. Souder v. Pendleton Detectives, Inc. , 88 So.2d 716 (La. App. 1956).

  74. Pinkerton National Detective Agency v. Stevens, 132 S.E.2d 119 (Ga. App. 1963).

  75. Saldana v. Kelsey-Hayes Company, 443 N.W.2d 382 (Mich. App. 1989).

  76. Sowards v. Norbar, Inc. , 605 N.E.2d 468 (Ohio App. 10 Dist. 1992).

  77. O’Connor v. Ortega, 480 U.S. 709 (1987).

  78. Simpson, supra at 13.

  79. Clement v. Sheraton-Boston Corporation, Commonwealth of Massachusetts, Superior Court Department, Civil Action No. 93-0909-F, settlement entered 1/8/98.

  80. K-Mart Corp. v. Trotti, 677 S.W.2d 632 (Tex. App. 1 Dist.,1984).

  81. Johnson, supra at 72.

  82. McLaren v. Microsoft Corp. , 1999 WL 339015 (Tex. App.-Dallas).

  83. Agis v. Howard Johnson Co. , 371 Mass. 140, 144 (1976).

  84. Bodewig v. K-Mart, Inc. , 635 P.2d 657 (Or. App. 1981), overruled on other grounds Mathieson v. Yellow Book Sales & Distrib. Co., 2008 U.S. Dist. LEXIS 55941 (D. Or.

  2008), citing Navarette v. Nike, Inc., 2007 U.S. Dist. LEXIS 6323, 2007 WL 221865,

  *3 (D. Or. 2007).

  85. Olivas v. DeVivo Indus., Inc. , 2001 WL 282891 (Conn. Super.).

  86. Tenold v. Weyerhaeuser Co. , 873 P.2d 413 (Or. App. 1994).

  87. Texas Farm Bureau Mut. Ins. Companies v. Sears, 45 Tex. Sup. Ct. J. 1245 (Tex., 2002).

  88. O’Connell v. Bank of Boston, 640 N.E.2d 513 (Mass. App. Ct. 1994).

  89. Devis v. Bank of America (1998), 65 Cal.App.4th 1002, 1008, 77 Cal.Rptr.2d 238.

  90. Fuller, supra at 1.

  91. Valdez, supra at 1.

  92. Salinas, supra at 4.

  93. Saine, supra at 5.

  94. Mend e z v. M.S. Walker, Inc. , 528 N.E.2d 891 (Mass. App. Ct. 1988).

  95. Green, supra at 12.

  96. Tarnef v. State, 512 P.2d 923 (Alaska 1973).

  280 ◾ Investigative Interviewing

  97. People v. Elliott, 501 N.Y.S.2d 265, (N.Y. Sup. Ct. Queens 1986).

  98. General Motors Corp. v. Piskor, 340 A.2d 767, (Md. App. 1975).

  99. Blailock v. O’Bannon, 795 So.2d 533 (Miss. 2001).

  100. Warren, supra at 44.

  101. Caldor, supra at 49.

  102. Hampton v. Norred & Associates, Inc. , 454 S.E.2d 222 (Ga. App. 1995).

  103. Smith, supra at 69.

  104. Wright v. Montgomery Ward & Co., Inc. , 814 F. Supp. 986 (D. Kan. 1993).

  105. Johnson v. United Parcel Services, Inc. , 722 F.Supp. 1282 (D.Md., 1989).

  106. Uebelacker v. Cincom Systems, Inc. , 608 N.E.2d 858 (Ohio App. 1992).

  107. Caldor, supra at 49.

  108. Paolucci, supra at 51.

  109. Rolsen v. Lazarus, 2000 Ohio App. LEXIS 4466.

  110. Mendez, supra at 104.

  111. Tenold v. Weyerhaeuser Co. , 873 P.2d 413 (Or. App.,1994).

  112. Stockley v. A.T. & T Information Systems, Inc. , 687 F. Supp. 764 (E.D.N.Y. 1988).

  113. DeAngelis v. Jamesway Dept. Store, 501 A.2d 561 (N.J. Super. A.D. 1985).

  114. Chappelle v. Robinsons-May, Inc., et al. , California Court of Appeal, Second District, Division 6, 2d Civil No. B150130, Dec. 18, 2001 [Unpublished].

  115. Crump, supra at 52.

  116. Present v. Avon Products, Inc. , 253 A.D.2d 183, 687 N.Y.S.2d 330 (Sup. Ct. App. Div.

  1st 1999).

  117. Kelly v. West Cash & Carry Building Materials Store, 745 So.2d 743 (La. App. 4 Cir. 1999).

  118. Layne v. Builders Plumbing Supply Company, Inc. , 569 N.E.2d 1104 (Ill. App. 1991).

  119. Beauchamp v. Eckerd’s Drugs of Louisiana, Inc. , 533 So.2d 390 (La. App. 4 Cir. 1988).

  120. Sullivan v. Baptist Memorial Hospital, 995 S.W.2d 569 (Tenn., 1999).

  121. Stephen P. Pepe and Scott H. Dunham, Avoiding and Defending Wrongful Discharge Claims, §2:09 Reference Checks—Defamation In Employment Setting. Callaghan

  & Company (1987–1991); Clark Boardman Callaghan, a Division of Thomson

  Information Services, Inc. (1991–1997); and West Group (1998–2000).

  122. Theisen v. Covenant Medical Center, Inc., 636 N.W.2d 74 (Iowa 2001).

  123. Dewald v. Home Depot, 2000 WL 1207124 (Tex.App.-Dallas) [Unpublished].

  124. Id.

  125. French v. Foods, Inc. , 4
95 N.W.2d 768 (Iowa, 1993).

  126. Mead v. Deloitte & Touche LLP, 2000 WL 1337662 (Conn. Super.).

  127. Theisen, supra at 122.

  128. Sears, Roebuck and Co. v. Wholey, 779 A.2d 408 (Md. App., 2001).

  129. Morris v. Hartford Courant Company, 200 Conn. 676 (Conn. 1986).

  130. Koller v. Pontiac Osteopathic Hospital, et al. , Court of Appeals of Michigan, No. 229630.

  May 21, 2002.

  131. Vaillancourt v. The Gap, Inc. , Court of Appeal, First District, Division 3, California.

  No. A096201. (Marin County Super. Ct. No. 174776). Oct. 15, 2002. [Unpublished].

  132. Wright, supra at 104.

  133. Wal-Mart Stores, Inc. v. Binns, 15 S.W.3d 320 (Ark. 2000).

  134. Sisney v. Sha-Tec Foods, Inc. , Pottwatomie County District Court, Okla., No. C-89-291

  (Sept. 16, 1989), reported in 33 ATLA L. Rep. 74 (March 1990).

  135. Brown v. Dart Drug Corporation, 551 A.2d 132 (Md. App. 1989).

  136. Olivas v. DeVino Indus., Inc. , 2001 WL 282891 (Conn. Super.).

  Legal Challenges and Litigation Avoidance ◾ 281

  137. Tenold v. Weyerhaeuser Co. , 873 P.2d 413 (Or. App., 1994).

  138. Florida, 443.036(26)(a) and (2).

  139. Illinois Unemployment Insurance Act, 602A.

  140. For example, see Cabreja v. Mount Sinai Medical Center, 535 N.Y.S.2d 149 (N.Y.A.D.

  3 Dept. 1988) and Frey v. Unemployment Compensation Review Board, 589 A.2d 300

  (Pa. Commw. 1991).

  141. Hurlbut, supra at 91.

  142. Ray v. Department of Employment Security Board of Review, 614 N.E.2d 196 (Ill. App.

  1 Dist. 1993).

  143. Cabreja v. Mount Sinai Medical Center, 535 N.Y.S.2d 149 (N.Y.A.D. 3 Dept. 1988).

  144. Hurlbut v. Unemployment Review Board, 589 A.2d 300 (Pa. Commw. 1991).

  145. Frey v. Unemployment Review Board, 589 A.2d 300 (Pa. Commw. 1991).

  146. Montellanico v. Unemployment Compensation Board of Review, 558 A.2d 936 (Pa.