Council's Internal Investigations Certificate Program

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Detailed Overview/Outline

In three intensive days you will:

• Gain practical experience by participating in three mock internal investigations
• Develop discerning interviewing skills that will ensure your investigation reveals all the facts
• Acquire a range of best practice tools and techniques by sharing experiences with your peers
• Learn from expert facilitators with years of practical, hands-on experience in internal investigations

Who should attend?
HR Professionals

Agenda
Part 1 - How To Get Started: Devising An Internal Investigation Plan And Taking The Legal Implications Into Account

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

9:40 am Break

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: Lunch

Part 2 - Your Step-by-Step Guide 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 witnesses

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: Lunch

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: Lunch

1:00pm

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

Sponsor Background:
For over 25 years, the Council on Education in Management has been your partner in controlling legal liability in employment policies and management practices. Attendees return year after year to the Council's entire curriculum of seminars and conferences (as well as sending staff and professional colleagues), to stay current on legislation, regulations and precedent setting court decisions that impact employer liability.

Is payment required prior to event?

Yes, payment is required prior to the event with the exception of public sector employees. For public sector employees who have not paid in full, we require a copy of a purchase order.

What is your cancellation policy?

Certificate programs: Should you be unable to attend, a substitute is always welcome at no extra charge. A full refund, less a service charge of 10%, is given for cancellations received in writing (letter, fax or email) four weeks prior to the event. A 50% refund will be sent for cancellations received between two and four weeks prior to the event. Regrettably, no refunds can be made for cancellations received less than two weeks prior to the event but we will accept a substitute delegate at no additional charge. (First transfer is free – 2nd one and thereafter will have a $250 fee per transfer.)

Seminars: Should you be unable to attend, a substitute is always welcome at no extra charge. A full refund, less a service charge of $75, is given for cancellations received in writing (letter, fax or email) four weeks prior to the event. For cancellations received between two and four weeks prior to the event, we would be happy to accept a substitute delegate at no extra charge or you may transfer your registration to another event. Regrettable, no refunds or transfers can be made for cancellations received less than two weeks prior to the event, but a substitute delegate is always welcome. If you are unable to provide a substitute or transfer in accordance to the above policy, Council will provide you with the program material.

On rare occasions, Council may decide to cancel this event. In this circumstance, Council does not accept responsibility for covering airfare, hotel or other costs incurred by registrants. However, we will provide all program materials at no additional costs and we will assist you in rescheduling.

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