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HD-04 - CONDUCTING EFFECTIVE WORKPLACE INVESTIGATIONS

There has been much in the news about the need to investigate claims by employees that they have been victims of discrimination or harassment. In these matters, the courts will conclude that if you did not investigate it, then you must have condoned the bad behavior. Even when it is the employer who is the victim, such as in cases of embezzlement or other wrongdoing, there are so many potential traps in an investigation (such as invasion of privacy, defamation, etc.), that many employers are fearful of the ramifications of any investigation.

In response to these concerns, some employers have tried to avoid any problems by simply terminating suspected wrongdoers. The problem is that these alleged wrongdoers can also sue you. If a fired employee can establish an express or implied agreement not to dismiss except for good cause, the employee would have the opportunity to attack whether or not good cause really existed. After all, if you did not even investigate, then how could you have had good cause?

  1. The Cotran Case: Why a Proper Investigation is So Important
    A. What this Decision Means
    B. What Kind of Investigation is Required? 

  2. Is an Investigation Required?
    A. Duty to Provide a Safe Workplace
    B. Duty to Provide Harassment-Free Workplace
    C. Duty to Customers
    D. Investigations Must Be Prompt and Thorough

  3. Legal Implications Regarding How the Investigation is Conducted
    A. Privacy Concerns
    B. Defamation
    C. What if it Involves a Customer?
    D. Retaliation
    E. Improper Threats

  4. Current Issues Regarding the Investigator
    A. Third-Party Investigators
    B. In-house Investigation
    C. Proposed Legislation Regarding Investigators

  5. The Starting Point: Having Proper Policies and Procedures in Place
    A. Handbook can either be a Liability Trap or an Essential Tool
    B. Liability Traps
    C. Useful Tools

  6. Planning the Investigation
    A. Where should an Investigation Take Place?
    B. Who Should Investigate the Complaint?
    C. The Investigation Process
    D. New Rights for the Accused in Interviews

  7. Interim Actions While Investigation Pending
    A. Dealing with the Complainant
    B. Dealing with the Accused
    C. Dealing with Witnesses

  8. Investigating the Complaint
    A. Keys to a Successful Investigation
    B. Key Steps in an Investigation
    C. Interviewing the Witnesses

  9. Reaching a Conclusion
    A. Assess the Credibility of Witnesses
    B. Review the Documentary Evidence
    C. Reach a Defensible Conclusion
    D. Making an Appropriate Recommendation
    E. Do Not Act in Anger, or Haste

  10. Documenting the Investigation
    A. Failure to Document Could Lead to Liability
    B. The written report

  11. Post-Investigation Issues
    A. Maintain Confidentiality
    B. Communicate Findings to Complainant
    C. Communicate Findings to Accused
    D. Communicate Findings to Other Employees
    E. Treatment of the Complainant
    F. Treatment of the Accused
    G. Addressing the Underlying Conflict
MT-01 - Managing Performance, Minimizing Risk
MT-02A - Harassment Prevention for Supervisors 
MT-02b - Harassment Prevention for Non-Supervisors 
MT-03 - Quality Performance Evaluations 
MT-04 - Effective Employee Documentation 
MT-10 - Hot Topics in Wage and Hour Law
MT-11 - Protecting Confidential Business Information 
MT-12 - Understanding Leaves of Absence 
MT-13 - Issues in Workplace Privacy 
MT-14 - Issues in CyberSpace: E-Mail and Internet Access 
HD-01 - Recruiting and Hiring Employees 
HD-02 - Employee Discipline and Terminations 
HD-03 - Effective Handling of Employee Problems 
HD-04 - Conducting Effective Workplace Investigations  
 


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