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Join our Investigation:

An Experiential SessionFrom Helpline Call to Final Report

Society for Corporate Compliance and Ethics

Las Vegas 2017

Roxane MacGillivray & Wendy Evans

Senior Corporate Investigators

Lockheed Martin

Join Us – Intro and Agenda

• Intake – Meet with our Reporter, Jason

• Investigative Plan Note allegations, potential witnesses

• Evidence Collection: Documentary, Physical, Testimonial

• Conclusion What did evidence lead you to decide?

• Investigative Report Concise summary of investigative efforts

• Feedback/Follow Up Manager, discipline committee, legal, etc.

Wendy Evans Roxane MacGillivray

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It’s going to be one of those days….

You know it’s going to be one of those days…

• When your Reporter comes in wearing sunglasses with his badge covered in a post-it note.

• He says, “I’m anonymous…good to meet you.”

• When the ex-wife of one of your employees reports him—saying he is worthless, lazy and no-good.

• You blurt without thinking, “We feel the same way.”

• When the Reporter uses a hand truck to deliver five boxes of documents.

• She says she wants to have an “off the record” meeting with you. Really?

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You know it’s going to be one of those days…

• When the caller asks if having an affair at work constitutes mischarging.

• You respond, “Maybe. It depends on flex time and breaks.”

• When you tell the employee she can’t keep the iPad gift from the vendor.

• She says, “Thanks a lot, I guess you tell your kids there’s no Santa, too,” and hangs up on you.

• When your Subject screams at you, “I have no #@!) issues with my leadership, do you hear me?!!!”

• Case closed. ☺

THINGS JUST AREN’T ALWAYS WHAT THEY SEEM….

Intake --- Meet Jason

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Reporting Party Debrief…

• What did you think of Jason?

• Was he credible?

• What did he allege?

• Did he name any witnesses?

• Where did you meet with Jason?• In his cubicle – his officemate was wearing headphones, it’s okay!

• In the gym--Jason thinks better after a few cookies and workout.

• In the leader’s conference room – yes, it was a little embarrassing when his team came in for their weekly meeting.

• In your office or by phone (Skype, MeetNow, etc.) – OF COURSE!

What do you tell Jason to expect?

• A miracle. Just sayin’….

• No news is good news.

• Don’t call us…we’ll call you.

• I will conduct a fair, thorough and timely investigation….

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Wait a minute…what did Jason think of YOU?

• He knew I bought his story--hook, line and sinker. I’m all in!!

• He thought I looked bored. He was right. Yes, I’ve heard it all before.

• Well…I think he caught me checking my phone during the interview…maybe…

• He could tell I was an engaged professional who actively listened to his concerns

Be mindful of….

• Confidentiality• Banner Health Decision (NLRB)*

• Represented Parties

• Non-Represented Parties

• Leaders versus non-leaders

• Exceptions

• Special Considerations• CBA-represented Parties – Weingarten Rights

• Parties who say they have a lawyer

• Parties who ask for complete confidentiality

• Parties who ask to record the interview

*Banner Health Systems, 362 NLRB No. 137 (June 26, 2015)

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Investigative Plan

• Who needs a stinking plan? Just go for it and pick up the phone.

• Is the Investigative Plan like a Performance Improvement Plan or something? Do we have to do it?

• Did Sherlock Holmes follow some plan? I don’t think so…

• An investigative plan is your roadmap. • It charts the logical course between where you

are—and where you need to go to reach an investigative conclusion.

Investigation Plan Template - Exercise

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Evidence• Documentary (consider chain of custody)

• Email• Instant Message• Access Records• Conflict of Interest Filings• Public Record Searches

• Physical Evidence (chain of custody/storage considerations)• Hard copy notes, letters, documents• Thumb drives (engage your computer experts, as needed)

• Testimonial (memorialize notes soon as possible)• Manager Discussion• Human Resources• Witness Interviews• Reporting Party and Subject Interviews

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Witness Interviews

• Do your homework

• Keep it Collegial

• BOVINE Approach:• Build Rapport• Open-ended questions• Visualize their story• Introduce clarifying questions• Notice the Gaps• End with Closed Questions

• Challenges• Uncooperative/hostile• Reluctant/Nervous

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Witness – Meet JJ

Witness Debrief

• Did JJ provide useful information?

• Was she credible?

• How did her story compare with Jason’s?

• Should JJ expect:

• Information about who reported this matter?

• Complete confidentiality?

• Feedback about outcome of investigation?

• Information about what other witnesses have said?

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Subject – Meet Jamison

Subject Debrief

• Tell us about Jamison’s demeanor.

• Did he acknowledge the allegations?

• How did Jamison’s story compare to Jason’s? JJ’s?

• How do you handle a hostile/uncooperative Subject?

• Tell us your stories! How did you handle a hostile witness?

• Do you have a policy on investigations process?

• What do you tell Jamison about “next steps”?

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Reaching your Investigative Conclusion

• Review Allegations • How did your investigation evolve?

• What does evidence suggest?

• Standard of “proof”• More Likely than Not

• Good faith investigation

• Courage of your Convictions• Confer with Subject Matter Experts

• Don’t fear the gray areas or elephants in the room

• You are the policy expert

• Document the conclusion

Bringing it in for a landing – Investigative Report

• Format • Case Number, Subject Information, Allegations• Background• Investigative Summary• Conclusions• Policy Citations

• Prepare Outline:• Allegation

• Supporting information/Evidence

• Avoid legal conclusions; medical or legal language

• Third Person; Active Voice

• Keep it concise

• Peer review

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Feedback, Presentation, Follow-Up

• Feedback• Reporting Party – did you substantiate the allegations raised?• Subject – was there a finding against the subject or not?

• Presentation• Be present – don’t allow others to summarize your investigation• Be prepared – know your case inside and out (details not in

report)• Be patient – some committee members will not have read report• Be polite – don’t interrupt discipline committee questions• Be professional – carefully and concisely walk through the story

• Follow-Up• Check with Legal/Regulatory Compliance if legal/regulatory issue• Check with HR/Security if a subject poses threat, has a clearance

or is to be terminated after discipline committee

Now you can RELAX until the next case!

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Thank you!

• Wendy Evans

• 407-462-4478

• wendy.w.evans@lmco.com

• Roxane MacGillivray

• 407-394-5822

• roxane.macgillivray@lmco.com