and the interviewers will work to ensure that all interviews are brief as
possible. Interviewees will be permitted to take breaks during the inter-
view. However, the interviewee shall not be returned to work without
first notifying a decision maker.
During the Oral Portion of the Interview:
The management representative will participate on tape three times.
They include:
1. When asked to identify yourself, provide your name, position,
and the name of your employer.
2. When asked if you have any questions, answer accordingly.
3. When asked if you or the organization has made any decisions
regarding the subject or discipline, indicate that the organization
has made no decisions and will not be doing so until the comple-
tion of the investigation. Also indicate that the subject is being
sent home (with or without pay) pending any further decision by
management.
309
Appendix 5
Employee Information Sheet
Subject Date
Interviewer
Witness
Name
#
Information
311
Appendix 6
Written Statement Checklist
Subject:
Written Start:
Interviewer:
Break Start/Finish:
Witness:
Break Start/Finish:
Witness:
Written Finish:
Witness:
Date:
Check each item as covered with interviewee. Substitute “n/a” for those items
that do not apply. If interviewee is unable or unwilling to write a statement, ask if he will allow you to write it for him, which he will sign when completed.
◾ Complete opening paragraph according to guidelines.
◾ Document misconduct of subject or other desired information.
◾ Detail when, where, and the last time event occurred.
◾ Document known or observed misconduct of others.
◾ Document motive for subject’s actions.
◾ Document motive for subject’s cooperation.
◾ Document that subject realizes that he has violated organization policy and/
or the law.
◾ Document that subject understands that because of the above he may be
disciplined or discharged (or prosecuted, if applicable).
◾ Document why the subject has decided to be honest, knowing the possibility
of discipline (or prosecution).
◾ Provide subject the opportunity to add anything in his own words.
◾ Close statement as a declaration according to guidelines.
◾ Assure that all present sign the statement.
313
Appendix 7
Preprinted Statement Form
Statement of
Date:
Regarding:
Phone No.:
Position or Title:
Phone No.:
Interviewer:
Phone No.:
Witness:
Phone No.:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
315
316 ◾ Appendix 7
15.
16.
17.
18.
19.
20.
21.
22.
Appendix 8
Oral Statement Checklist
Subject:
Oral Start:
Interviewer:
Break Start/Finish:
Witness:
Break Start/Finish:
Witness:
Oral Finish:
Witness:
Date:
Check each item as covered with interviewee. Substitute “n/a” for those items
that do not apply. If interviewee is unable or unwilling to provide statement, ask if he will allow you to record it for him and acknowledge it when completed.
◾ Identify self and state date, time, and place.
◾ Have everyone else present identify themselves by name, position, and employer.
◾ Establish that subject understands English and is aware that he is being recorded.
◾ Establish that subject understands why he is being investigated and/or interviewed.
◾ Establish that subject is being treated fairly.
◾ Establish that you are a private investigator and not a police officer.
◾ Establish that subject is not being imprisoned and that he can leave at any time.
◾ Establish that subject was not denied use of the telephone, food, drink, or
the restroom.
◾ Establish whether or not the subject requested counsel.
◾ Establish why the subject did or did not want representation.
◾ Review the methods of investigation that could have been used and that one
or more of them were used to gather information about the subject.
◾ Review the legal and illegal aspects of electronic investigation.
◾ Establish that subject agreed to two conditions in order to participate in
the interview.
317
318 ◾ Appendix 8
◾ Establish that you are only an information gatherer, not a decision maker.
◾ Establish that no threats or promises were made.
◾ Establish possibility of termination and/or prosecution or other action as
appropriate.
◾ Establish that the subject understands that his cooperation does not guaran-
tee favorable treatment or continued employment.
◾ Establish why subject has been honest.
◾ Establish that the subject understands perjury.
◾ Have the subject identify his signature on his statement and then read
the statement.
◾ Review information provided by subject regarding others.
◾ Allow client to ask any questions.
◾ Allow subject to ask any questions or add anything to his statement.
◾ If interview goes beyond a reasonable length of time, state why.
◾ Ask subject not to discuss the investigation or interview with others that may be involved.
◾ Allow client to inform subject of his status.
◾ Establish that everything the subject has stated during this portion of the
interview has been the truth.
◾ Take statement as an oral declaration, “I declare under the penalty
of perjury that the statement that has just been provided by me is true and
correct.”
◾ Establish date and time, and that the recorder had not been turned off during the interview (or if it had, why).
◾ Establish city, county, and state of the interview location, and that this is the end of the tape.
◾ Recover any organization property in possession of the subject.
Appendix 9
ANY COMPANY
100 Very Marginal Way
Any Town, Any State 92123
POSTINVESTIGATION OBSERVATIONS
AND RECOMMENDATIONS
Executive Summary
A five-month internal, undercover investigation revealed an assortment of problems at the Any Town, Any State ice cream plant. These problems included widespread
employee substance abuse, unsafe work practices, and reduced productivity. These and the other problems uncovered were the long-term product of:
◾ inadequate preemployment screening
◾ poor supervision
◾ ineffecti
ve policies and practices
As in most cases of this type, management’s role was significant. However,
the following observations and recommendations should not serve as an indict-
ment of that management, but instead augment the continuous improvement pro-
cess for the good of the organization and the ice cream plant. For the purpose of this report, our observations and our corresponding recommendations have been
grouped as follows:
◾ Personnel Screening
◾ Supervision and Employee Relations
◾ Workplace Safety
◾ Security and Asset Protection
319
320 ◾ Appendix 9
It should be noted that Business Controls, Inc. did not conduct an internal audit.
Our observations, both objective and subjective, were made during our investigation and the employee interviews that followed it. As such, it is recommended a more detailed examination/audit be conducted at some later date.
Personnel Screening
It is often said that the employees make or break an organization. Consequently, a company’s success depends on the quality of its people. No other element more greatly impacts our productivity, competitiveness, and profitability than our people. Effective preemployment screening is the only proven technique to ensure
quality people are consistently brought into the organization. In this case, a few of the employees involved in substance abuse and other misconduct should have not
been hired.
Recommendations:
◾ Review current preemployment drug testing protocols. During the course of
the undercover investigation, several employees boasted that they were illegal
drug users and had beat the drug test. A qualified clinician should examine
the collection site and the laboratory conducting the test. Audit periodically
to ensure process meets needs and expectations.
◾ Retain the services of a preemployment screening and background investiga-
tion firm. Several of the individuals examined during our investigation had
criminal histories, including convictions involving violence and substance
abuse. Have each candidate thoroughly screened before an offer of employ-
ment is made. The background investigation should include at minimum:
a seven-year criminal conviction history (examine both felonies and mis-
demeanors); a driving record history; and a public filing history (notices of
default, civil judgments, tax liens/bankruptcies). Check other states where the applicant lived over the past 7 to 10 years. According to most state highway
enforcement agencies, driving histories are the single best place to search for, and identify, a history of substance abuse.
◾ During the preemployment interview, ask penetrating questions that reveal the applicant’s ability to solve problems, resolve conflicts, and communicate ideas.
◾ Have the current employment application reviewed by counsel to ensure
it meets current legal standards and asks nothing unlawful.1 Ensure the
application contains an enforceable release of liability and that it provides
the necessary protection for conducting background investigations and
drug testing.
Appendix 9 ◾ 321
◾ Provide training to the supervisors, lead persons, and managers involved in
the hiring and training process. The training should be designed to augment
their interview skills and ensure they are aware of the legal implications of
employment interviewing and screening.
Supervision and Employee Relations
The lack of effective and competent supervision contributed significantly to the size and scope of the problem uncovered at the plant. Two foremen were more
involved in illegal drugs than managing their employees. As a result, the absence of supervision allowed a substance abuse problem to permeate the hourly ranks and
contaminate much of the workforce. Additionally, we learned that it was common
knowledge employees regularly smoked marijuana in the company parking lot and
inside the plant, and that supervision did nothing to stop it. Also, alcohol contain-ers, partially full or empty, were routinely found in the employee parking lot. In two instances, partially consumed alcoholic beverages were found inside the plant.
Employees returning to work with alcohol on their breath was common.
Furthermore, employees were allowed to work at their own pace and produce
only that which they wished.2 Millwrights and mechanics frequently displayed a
complete lack of urgency when called for assistance or assigned a repair. Several of them took pride in allowing production to stop while they casually meandered to an assignment. All the while, foremen failed to inspect product and monitor
productivity. In one instance, a foreman did not inspect his crew’s work until 12
pallets of defective product had been produced. Often, senior employees idled, slept on the job, and neglected to assist or train newer employees. Employee hazing
and harassment was commonplace. Often, horseplay led to reckless acts endanger-
ing employee safety and product quality. Many of the employees openly criticized authority, while those in supervision openly harassed those who questioned them.
During our interviews, several employees indicated they disliked the company
and that safety, productivity, and quality were of no concern. Several interviewees expressed explicit disdain for management and organizational values.
Recommendations:
◾ Reassess the qualifications and skills needed for all positions. Take great care when promoting from within. Provide supervisors and managers better training and communicate expectations.
◾ Establish performance standards for all levels of the organization includ-
ing supervision and management. Provide basic training to those employees
in need, especially the foremen. Use progressive discipline where necessary.
Insist policies and procedures are followed at all times.
◾ Hold all employees accountable for their actions (or inactions). Ensure that supervisors and managers are accountable for the actions (or inactions) of
322 ◾ Appendix 9
their subordinates. Be fair, but be firm. Start from the top, train and inform
all the way down. Hold more training and/or safety meetings for all levels.
◾ Insist that all employees be treated with dignity and respect at all times. Tell employees to report violators and demand an end to hazing and harassing
behaviors. Prohibit foul language, horseplay, and roughhousing in the plant.3
◾ Provide alcohol and substance abuse awareness training to all supervisors and managers. Teach the supervisors and managers how to recognize impairment
and the at-risk employee. Provide similar training to the hourly employees as wel .
Workplace Safety
Workplace safety should constantly be monitored and safety practices reviewed
on a regular basis. Safety violations include the failure to lock out while making machine or equipment repairs, failure to wear eye and ear protection, neglecting wet floors, throwing tools, and carelessly operating forklifts and clamp trucks.
◾ Conduct a safety audit of the manufacturing operation and office areas.
◾ Recommunicate safety policies and periodically conduct spot inspections.
◾ Implement mandatory drug testing for all accidents that occur at work.
Communicate to the employees that accidents must be reported immediately.
Inform supervisors and managers that discipline will result in cases where the
policy is not followed.
◾ Reward safe behavior, punish unsafe behavior.
◾ Hold
supervisors and managers responsible for safe practices of their subordinates.
Security and Asset Protection
Security in the plant was a concern to a number of employees. The plant’s location, design, age, and the nature of the business offer significant security challenges.
However, there is much that can be done.
Recommendations:
◾ Better control employee entrances and exits. Monitor visitor traffic in and
about the plant.
◾ Management may want to implement a program for employees to anonymously
report company policy/safety violations. The company may want to consider
instituting an 800 number to use as the anonymous avenue of communica-
tion for such issues or using a professional service like MySafeWorkplace.com.
◾ Employees should be reminded that incorrect documentation of time is theft
and a violation of company policy.4 This includes overstaying breaks or tak-
ing breaks when not authorized. Violators should be warned, then punished
if it continues.
Appendix 9 ◾ 323
Conclusion
While no organization is immune to employee misconduct and dishonesty, man-
agement can do a great deal to minimize its exposure, and significantly reduce its risk. That which is outlined above should serve as a start or at least provide some additional insight beyond our formal investigation.
Endnotes
1. It is unlawful to ask the dates of military service or high school graduation.
2. Interestingly, this attitude seemed to exist in the front office as well. The tempo of operations in the office was markedly less than the other locations in which we have worked. There didn’t seem to be a sense of urgency anywhere.
3. In two separate instances, an open blade knife and a large wooden mallet were thrown directly at our investigator as he worked.
4. Employees routinely left for lunch without clocking out.
Appendix 10
The Practical Application of Forensic
Psychology as an Investigative Tool
In order to fully appreciate forensic psychology as an investigative tool, let’s begin with a look into the head of what we shall call, the workplace aggressor.
Investigative Interviewing: Psychology, Method and Practice Page 47
