| Table Of Contents |
Internal Investigations Certificate Program
Day One
8:00 am: Registration and networking
8:30 am: Trainer’s welcome and introduction
8:40 am
Step 1—Outlining a Recipe for Success: Setting the Stage for a Successful Investigation
Establishing essential policies and procedures that will guide and regulate your investigation . . . and keep you on the right track
Applying the 10 vital steps an investigator must take to prepare for every investigation
Using the initial facts to identify which company policies, procedures and laws have been allegedly violated
Selecting the right investigator(s) for optimal results: When should you call in senior management, security, an outside expert, your attorney or law enforcement authorities?
Learning how to identify, gather and organize the information you will need during your investigation
Establishing a “chain of custody” process to preserve your physical and documentary evidence
Lining up your resources and investigation techniques: Knowing when you can use surveillance methods without violating your employee’s rights to privacy
Taking steps to prevent workplace violence from occurring during and after an investigation
10:00 am
Step 2—Detecting the Legal Landmines: Ensuring that Your Investigation Complies with the Law
Clarifying how the Supreme Court and other courts have defined your obligations in conducting investigations
The hallmarks of a legally-defensible investigation: Recognizing the standard by which your investigation will be judged and how to ensure you use “court-tested” methods
Which laws require you to undertake an investigation and what type of inquiry is most appropriate for the varying situations you will face?
Ensuring you are not violating your employee’s rights to privacy: Issues in the electronic workplace
How to maintain objectivity throughout your investigation
Avoiding the legal pitfalls that threaten your investigation by reviewing the potential liability hazards at the outset of your inquiry
Protecting yourself from individual liability and knowing your rights while conducting an investigation
Steering clear of the perils of a poorly conducted investigation
11:15 am
Interactive Exercise:
In this session you will apply the concepts introduced by your trainer to practical case scenarios that have been pulled from real-life situations HR professionals face everyday. Based upon the facts presented in each case and working in small groups you will analyze each fact pattern and:
Distinguish the policies, procedures, and/or laws allegedly violated
Identify the key facts that need to be corroborated or refuted
Determine if an investigation is warranted
Develop a tool in the form of a spreadsheet to easily track this information
12:00 pm: Break
Part 2—An Interactive Approach to Conducting Thorough Investigations
In Part 2 of this program you will develop practical skills regarding each stage of the investigative process by applying the material learned in each module to the following mock internal sexual harassment investigation:
Mock Investigation #1: Supervisor Accused of Sexually Harassing a Subordinate!
After a six-month extra-marital affair with her supervisor, Harry, female employee, May Day, decides that it is time to end the relationship. May explains to Harry that she is afraid of her husband discovering her infidelity. Unfortunately, Harry is devastated by the news and exerts pressure on May with references to her pay and status within the organization saying, "your career can go either way, it's up to you.” In fear of losing her job, May turns to her Employee Assistance Program for help in coping with Harry’s refusal to end the affair. After explaining the company's policy on sexual harassment to May, the EAP refers her to the HR department. The human resources manager determines an investigation is necessary.
1:00 pm
Step 3—Conducting the Perfect Interview: Critical Strategies to Uncover the Facts
Making the most of your witness interviews: Why proper preparation will maximize your chances of gathering critical information
The importance of maintaining a neutral stance until all of the facts are in
Taking workplace diversity into account: Understanding differences in ethnic, cultural and religious backgrounds
Identifying the interviewee's motive(s)
Taking notes and statements from your witnesses and the pros and cons of recording interviews
Confidentiality issues: What you must advise witnesses of from the start
When is your employee entitled to have their union representative or attorney present?
Getting your witnesses to open up: Asking the questions that elicit the vital information you need without provoking defensiveness or liability
How to read body language and identify other cues for assessing truth and credibility
Strategies for successfully dealing with hostile and reluctant
Interactive Exercise:
If you are not an experienced investigator conducting witness interviews can be complicated. In this session you will participate in a series of mock interviews with the individuals involved in May Day’s sexual harassment case. You will learn how to:
Identify whether the interviewee is credible, uncooperative, deceptive, and/or hostile and determine how to respond in each case
Understand what additional information must be pursued in the form of interviews, evidence, etc...
Determine whether any remedial actions are appropriate for the interviewee
Recognize the potential for retaliation and take steps to prevent it
4:00 pm: Close of day one
Day Two
8:00 am: Coffee and networking
8:30 am
Step 4—Gathering the Evidence: Supporting Your Investigation with Physical and Documentary Evidence
Creating supporting documentary evidence without creating liability: Understanding the critical role documentation plays in your investigation and how it can get you into trouble
Document control essentials and record-keeping: How to manage the information you gather to have it work for you and not against you
Analyzing the information you have gathered and applying the facts to applicable laws or policies to reach an appropriate, reasonable and legally defensible conclusion
Understanding why the guiding principle of any investigation is good faith
Interactive Exercise:
Using the notes taken while interviewing the individuals involved in May Day’s case you will:
Develop a summary of the facts for the case
Begin completing the documentary tool that tracks the alleged facts and whether they are confirmed or refuted
Analyze the facts and come to a conclusion regarding the outcome of the investigation
Step 5—Drawing Conclusions: Writing an Airtight Final Report that Stands Up in Court
Recognizing what courts and juries are going to look for should this case end up in court
Maintaining confidentiality: Techniques that ensure your sensitive information remains limited to a need-to-know basis
Recommending prompt, appropriate action: Evaluating all of your options and understanding precisely what should and should not be included in your report
Avoiding liability for defamatory statements by sticking to the facts
Taking appropriate disciplinary action based upon your final report
How to achieve closure when your investigation is inconclusive
Strategies for presenting your recommendations to management in order to achieve consensus
What can or should you say to coworkers about your findings or recommendations
11:45 pm: Break
12:45 pm
Interactive Exercise:
At the conclusion of your investigation you will be required to write a final report which outlines your findings and recommendations. This exercise will help you achieve your objective of preparing a report that will ultimately stand up to the potential scrutiny of the courts. Using the spreadsheet developed in the previous module as a point of reference, you will develop a final report which includes:
Description of the alleged violations of law, policies and procedures
An outline of the undisputed facts
Clear conclusions and recommendations for appropriate actions
Step 6—Maintaining Workplace Morale: Keeping Productivity High and Rumors to a Minimum
Effective techniques which will keep employee factions and the “rumor mill” from impacting productivity and employee morale
Responding to threats of workplace violence during or after the investigation by recognizing behavioral indicators
Handling problem employee issues respectfully with a focus on improved performance
Developing an organizational response plan
Designing and implementing a holistic HR approach: Employing all the necessary organizational resources to address a complaint or situation
Creating an empowered work environment by promoting an open door policy in your organization
Determining when to involve your employee assistance program or outside resources to curtail the potential fall-out from emotional stress
Step 7—Practicing Vigilance: Preventing Retaliation and Future Workplace Misconduct
Training managers on their affirmative responsibilities to respond to inappropriate and or offensive behavior even if no complaint has been filed or allegations are mere rumors
Recognizing patterns of behavior and addressing issues immediately before things get out of hand: Ridding your workplace of the retaliatory mindset
Preventing sabotage and encouraging cooperation within the management team
Following-up with the complainant to ensure that there are no further problems or repercussions, and documenting this interaction
Ensuring continued communication with all parties involved to minimize the threat of retaliation and documenting this communication
4:00 pm: Close of day two
Day Three
8:00 am: Coffee and networking
Part 3—Practice Makes Perfect: More Mock Investigations to Hone Your Skills
On this final day of the program you will refine the skills you have developed by putting theory into practice and taking part in two additional mock investigations. As you participate in each stage, you will have an opportunity to critique your performance and analyze any changes you would make to improve your results.
Learning Objectives:
Design and implement a strategic plan for each investigation
Develop questions for witnesses that will ensure consistency in gathering the facts
Practice strategies for conducting mock interviews of hostile and reluctant witnesses
Employ techniques for taking witness statements
Examine physical and documentary evidence and evaluate their usefulness
Draft your final mock investigation report utilizing a model format
Use your evidence and final investigation report as a road map to lead you to determining the appropriate action to take
Practice communicating your results to management and all interested parties
8:30 am
Mock Investigation #2: Employee Witnesses Drug Abuse in the Office!
During Tuesday's lunch hour, Susan Clare, the executive assistant to the CFO, accidentally witnesses one of the financial analysts, Jason Lewis, using illegal drugs in the company parking lot. Concerned for Jason, as well as for the other employees in the department, Susan reports her discovery to her boss who advises her to speak with human resources. During the investigation of the alleged drug use, Jason alludes to the fact that he is experiencing serious financial troubles.
12:00 pm: Break
1:00 pm
Mock Investigation #3: Domestic Violence Enters the Workplace!
On Monday morning Pauline Peril reports to work with a swollen lip and a black eye. When asked about her injuries by her colleague Everett Reddy, an operations supervisor, she claims she fell down the stairs at home over the weekend. Everett finds Pauline's explanation a little vague and, in addition, hears from a coworker that she is having an affair with another employee, Jack Jones. Apparently, her husband, Peter, recently discovered the affair and has threatened to "take out Jack and anyone else who got in his way." Concerned that Peter is responsible for Pauline's injuries, and a potential threat to the other employees in the office, Everett decides to speak with Human Resources.
4:00 pm: Close of day three
Questions? Email or call us at 770-410-9375 at any time.
We thank you for your interest.
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