1. How To, When To and What To Do in Conducting an Investigation July 10, 2013 Chris M. Wright

2. How to Prepare for an Investigation

3. 1. Gather facts 2. Determine merits 3. Complying 4. Maintain confidentiality 5. Preserving reputations 6. Remedial action 7. Avoiding liability and preventing future claims

4. Now You Know You Need a Formal Investigation Give Thought to Who Should Conduct the Investigation

5. Are there particular skills needed? Financial mismanagement? Active Listening skills Critical thinking skills Knowledge of company policies, procedures and practices Do we need more than one investigator due to complexity of the case or timing issues ?

6. Consider the Position and Authority of the Complaint and the Accused Any perception of bias might evoke among witnesses

7. Any potential impact on business operation Solid knowledge of the company policies, procedures and practices

8. Document Review Reserve all electronic data No destruction or deletion of documents or email Preserve all archived tapes and materials

9. Relevant Physical Evidence Complainant Witness Statement Personnel Files Written policies, procedures, practices and computer records REVIEW

10. Identification of Key Witnesses Complainant Accused Related witnesses Key witnesses Create a chronology of events and an outline for each witness.

11. Outline Topics Applicable company policies Summary of the complaint Names and identities of all relevant witnesses Relevant employment information on the complaint, the accused and the key witness Specifics of each incident Identify other possible witnesses, new leads and new documents Resolve conflicting witness accounts without identifying the witness Potentially related claims and relevant information

12. Using Social Media for Investigations Social Mention. Com –Pulls up social media with the key words 123people.com –Pulls up photos, public records, blogs, microblogs, twitter Whostalkin.com –Gateway to 60 different social media sites Bing.com/social –Covers facebook and twitter –Can narrow down by date Foupas –Facebook search tool that locates the user based on their username

13. Internet sites Pipl.com –Searches based on name, nickname, phone number or email address 123people.com –Searches photos, bing, blogs, twitter Yasni.com –Great starting point. Searches numerous online and public databases Yatedo.com Zoominfo.com

14. A Little bit about Privacy Issues Fair Credit Report Act –State –Federal Authority to Release –Pre-employment –Full General Privacy Issues –Audio –Ownership –Access –Permissible Purpose

15. Copyright 1997 Merritt Publishing

18. Chris M. Wright, CPP chris@thewrightgroup.comchris@thewrightgroup.com 714-687-1190 www.thewrightgroup.com