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WORKPLACE INVESTIGATIONS
Conference held in Toronto on November 15, 16 & 17, 2005
Chairs: Robert J. Gerden, Nortel Networks; Patrick Jandard, Roots Canada Ltd., Janet Naidu, Liquor Control Board of Ontario (LCBO); Andrew E. Hewitt, Ontario Ministry of Natural Resources
CD-ROM: Approx. 12 hours of video presentations
To purchase, please contact Federated Press.
LAYING THE FOUNDATION FOR AN EFFECTIVE INVESTIGATION
Resilience, metrics and a holistic approach to investigation management from an executive perspective
Robert J. Gerden, Nortel Networks
- Increasing Complexity of Background Trends & Drivers, Complex Risks Increasing
- Knowledge Economy Demands More Open Systems
- Convergence of IS and Physical
- Identify Types of Investigations and Who’s Involved
- Link Security Risk Strategies via Risk Mitigation Architecture
- Lessons from Professional Service Firms – know where you are and want to be
- Importance of Alignment of Global Security
"In order to compete in the knowledge economy, businesses need to expose their systems to risk across international boundaries and share information."
Video: 40 minutes • Overheads
Bill C-11: The Proposed Public Servants' Disclosure Protection Act
Al McKinnon, Public Service Human Resources Management Agency of Canada, Treasury Board
- Disclosure of wrong doing in the Federal government
- Many different kinds of investigations
- Significant application for investigator purposes
- Policy driven process to legislative process
- Privacy assessment in database
"There is a fine line between in a lot of issues. It is educational issue for 99.9% of public services are honest, and no matter what you do or say, they will do what they want to do and that is why legislation is there to bring them out."
Video: 34 minutes
Case file management and the decision to pursue
Sergeant William J. Law, Canadian Pacific Railway Police Service
- Case Screening & Case File Management
- Deciding when to pursue by looking at case screening matrix and a sample of a case file management system
- A Four Step Approach of Problem Solving: PARE
"Corner stone in building the foundation of effective investigation is to decide when to pursue and to put in place an effective case file management system."
"It is imperative to go beyond the investigation, and deal and solve the root cause of the crime related problem as part of the investigation process."
Video: 31 minutes • Overheads
Outsourcing investigations to third parties
Lillian K. Hamilton, Supply Chain Management Inc. (SCM)
- To be beware of Disclaimers & Cautions
- Investigation conducted internally and externally
- Pitfalls of outsourcing investigations to third parties
- Factors to Consider Before Outsourcing
- Some of Outsourcing Insights
- When to outsource and when not
- Outsourcing Best Practices
"It is not enough for justice to be done, it must also appear that justice has been done."
"It is one thing to know; it is another to prove."
"Outsourcing does not necessarily mean abdication of control."
Video: 35 minutes • Overheads
Encouraging and protecting whistle-blowers: A case study to avoid whistling down the garden path
Allen E. Tait, Ontario Internal Audit, Treasury Board Office, Ministry of Finance
- Whistle-blowing environment in general
- Allegation assessment theory
- Hostility Management and Investigating in a Hostile Environment
- Protection for good faith reporting and consequences for bad faith reporting
"You cannot control speculation. Whistle-blower management in a positive environment will not be easy."
Video: 41 minutes • Overheads
EVIDENCE AND INFORMATION GATHERING
Evaluating written and verbal statements with the scan method and the view questionnaire
Patrick Jandard, Roots Canada Ltd.
- Principles behind the SCAN methodology
- Analyzing the statement: interpreting the use of
- pronouns, changes in language and other potential red flags
- Missing time or information in a statement
- Applying the SCAN method to the VIEW questionnaire
"In open statement, 90% people are not deceptive. Will not bluntly lie. May modify some information."
"85% of deceptive people devote more subjective time to the period "before" the main issue than to the period "after"."
Video: 46 minutes • Overheads
Mastering interrogation techniques
Graeme Eastmure, Protect Security Services Ltd.
- Preparing for the interview: evidence-gathering
- Formulating questions
- Interpreting the Subject’s Response & Demeanour
- Choosing the right setting and set-up for the interrogation
- Cautioning and the reading of rights
- Dealing with angry, accusatory, defensive, evasive and other uncooperative subjects
"If someone sitting with you is honest and was not part of the incident whatsoever, is curious but not so curious as to find out what you got on him. But when someone is fishing, you got a pretty good idea that the person sitting in front of you is more likely to be that guilty person.”
Video: 35 minutes • Overheads
IT investigations: Following the trail with computer forensics at Procter & Gamble Inc.
Jason F. Conley, Digital Forensics Canada Inc.; Rick Kotwa, Procter & Gamble Inc.
- "Crash Course" in Forensics Fundamentals
- Situation where digital evidence is potentially useful
- Overview of proper forensic methodology
- Risk management & forensics
- Case Studies
- Corporate perspective on the applications of digital forensics
"Ideal application of digital forensics is imaging hard drives of IT executives and personnel access to important information. Hard drives can be compressed and written to evidence files put on DVDs. Post appointment forensic analysis conducted on positions and people in scope: termination, department based."
Video: 61 minutes • Overheads
Panel: Gadgets and gizmos for the 21st century gumshoe
Jason F. Conley, Digital Forensics Canada Inc., Graeme Eastmure, Protect Security Services Ltd.
- Theft detection powder
- Theft investigations primarily internal
- Imaging verifying technology
- Computer forensics and electronic evidence
- Advances in GPS technology for tracking vehicles and products
- Smart IP addressable camera surveillance systems
- Debugging technology
"When going after facts and evidence, not only old technology but new cutting edge high surveillance tools and technology systems are essential in the quest of information."
Video: 30 minutes
:WORKPLACE INVESTIGATION STRATEGIES AND TECHNIQUES
Case study: Internal and external investigations at the LCBO
Janet Naidu and Andrea Harris, Liquor Control Board of Ontario (LCBO)
- Strong policies and investigation of complaints
- Determine whether to mediate or investigate
- Interviews with complainants and respondents in separate stages
- Disclosure of findings and resolving complaints
- Resource protection and Disclosure of Findings
- Developing an online incident reporting system for employees
"The development of online incident reporting system for all employees in Liquor Control Board of Ontario (LCBO) has ensured that the management is aware of all happenings and events in quick time and effective measures can be proceeded as necessary."
Video: 51 minutes • Overheads
Investigating violence in the workplace
Laverne John Metzger, Bruce Power Incorporated
- Defining Workplace Violence
- Is workplace violence an issue in Canada?
- Involving law enforcement and avoiding liability
- Following Steps and correct sequence in investigating
"Be careful how you investigate, not to be in the wrong place at the wrong time, and doing in the right sequence to get the right information that you need."
Video: 42 minutes • Overheads
Accident investigations: From cause to conclusion
David L. Brewer, Les R. Vass, Solutions Investigations
- Work Load programme established by the WSIB
- Identifying the root causes of workplace accidents
- Determining whether an accident was indeed accidental
- Effectively coordinating with external resources
"Complexity of investigating injuries and accidents in workplace shows the need of establishing protocols and different approaches to be able to navigate the investigations for both legitimate and questionable incidents."
Video: 36 minutes • Overheads • Paper 2 pgs. (39 words)
Case study: Forensic Document Examination at Mathews Dinsdale & Clark LLP
Brian Lindblom, Document Examination Consultants Inc., Paula M. Rusak, Mathews Dinsdale & Clark LLP
- Qualifications of a document examiner and questionable qualifications
- Analyses can determine the manner in which a document was produced
- Forensic Examinations are performed on handwriting, forged signature, transferred signature, discovery of a page substitution
- Identification of typist in threatening Letter
- The applications of indentation analysis
- Alterations, additions or deletions in documentation
- Identifying mechanical impressions
"A variety of forensic document examination and counterfeit identification techniques, are used for in depth forensic analysis of forged signatures, altered documents, manipulated correspondence, backdated records and questionable documents.”
Video: 57 minutes • Overheads • Paper 26 pgs. (4,383 words)
METHODS AND TECHNIQUES OF INVESTIGATION
Investigating the investigator: Preventing and dealing with abuse of power
Andrew E. Hewitt, Ontario Ministry of Natural Resources
- Perspective of management to ensure that things do not go wrong in terms of resources, time and legal
- Ontario Emergency Drivers in which investigation and enforcement came into life
- Conducting an inspection and investigation by complying with the Canadian Charter of Rights
- Existing Regulatory Framework: Power of Inspectors Under (OGSRA) and Commencing legal proceedings under the OGSRA
- Adding an Investigation Module to an Existing Information systems: Interactive computer system that would help monitor activities of supervisor without delay
- To avoid unwarranted proceedings
"Abiding by this Charter of Rights, separate investigators from inspectors mainly by predominate purpose perceived by clients."
Video: 31 minutes • Overheads
Building an effective investigations team
Michael A. Hubley, RBC Financial Group
- Effectiveness in the 21st century
- Fraud management value chain
- Establishing objectives and goal-setting
- Hiring the right people
- Reporting for success
- Outcomes in improved visibility, improved resources and improved results
"In corporate and also non-corporate environment, corporate security really needs to be seen as, and perceived as a key business partner."
Video: 42 minutes • Overheads
Investigative tools and practical considerations for management and supervisory staff
Frank Simone, MKD Security Awareness and Training Inc., Steve Summerville, CHUM Television / Citytv
- Collecting evidence ethically and legally
- Legally using drug-sniffing dogs
- Canadian Charter of Rights, Criminal Code Applications, Criminal Code Applications
- Current Litigation (Tort) Issues
- Management of Liability
- Threat Recognition and Principles
- Effective Communications, Verbal De-escalation Techniques and 5 Steps to Generating Compliance, Interviewing principles
- Workplace "Security" Program and Vulnerability Risk Assessment
"Knowing well the Legislative tools in workplace investigations and be protected by criminal and civil liability and by Security Program, Management and Supervisory Staff collected evidence would be ethical and legal."
Video: 45 minutes • Overheads
Panel: Legal pitfalls and opportunities stemming from workplace investigations
Andrea York, Blake, Cassels & Graydon LLP, Edward T. McDermott, Osler, Hoskin & Harcourt LLP, Brian A. O'Byrne, Fasken Martineau DuMoulin LLP, Tamar Witelson, Sack Goldblatt Mitchell LLP
- Important elements of conducting in human rights investigations
- Collective agreement issues and the right to union representation
- Time limits for investigation and discipline
- Privacy legislation and the impact of Privacy laws and issues
- The effect of concurrent criminal proceedings on your investigation
"Laws governing workplace investigations are multiple and changing so fast that trying to keep pace of avoiding pitfalls has become challenging also."
Video: 57 minutes |