When an employee makes an allegation of sexual harassment in the workplace the company must act quickly to assess and investigate the complaint. This is one of the most difficult types of investigations, given the sensitive nature of sexual harassment, and a prompt, thorough and fair investigation is the only way to tackle the risk to the company, its employees and its reputation.
Join Angela J. Reddock-Wright, employment attorney, mediator, arbitrator, investigator and trainer as she outlines the elements of a well conducted sexual harassment investigation that addresses the needs of the complainant, the subject of the complaint, the other employees and the company.
The webinar will cover:
Assessing the credibility of the complainant
Outlining an investigation plan
Gathering evidence
Interviewing the complainant, witnesses and the subject of the complaint
Best practices for communicating with parties to a sexual harassment investigation
Following up with all parties
Making recommendations
My 3 Nov. 2011 presentation on social media & legal ethics for the Theodore Roosevelt Inn of Court at the Nassau County Bar Association in New York.
This is a narrow look at two issues related to social media look by employees - monitoring workplace computers and employee publication and "off duty" conduct.
An hour long presentation on "hot topics" for Canadian employers. Deals with business system monitoring, employee responsibility for "off duty" publication and background checks.
Social Media and Your Staff by Brian Miller and Jean Boyle, solicitors at Sto...Brian Miller, Solicitor
Brian Miller and Jean Boyle, solicitors at Stone King take you through the legal implication of using social media and how to ensure your staff are aware of the consequences of using it in your organisation.
My 3 Nov. 2011 presentation on social media & legal ethics for the Theodore Roosevelt Inn of Court at the Nassau County Bar Association in New York.
This is a narrow look at two issues related to social media look by employees - monitoring workplace computers and employee publication and "off duty" conduct.
An hour long presentation on "hot topics" for Canadian employers. Deals with business system monitoring, employee responsibility for "off duty" publication and background checks.
Social Media and Your Staff by Brian Miller and Jean Boyle, solicitors at Sto...Brian Miller, Solicitor
Brian Miller and Jean Boyle, solicitors at Stone King take you through the legal implication of using social media and how to ensure your staff are aware of the consequences of using it in your organisation.
Payroll fraud is the most common form of employee theft and of all the accounting fraud scams it’s one of the hardest to detect. One of the difficulties in stopping payroll fraud is the different types of scams that exist. How can you implement policies, procedures and strategies to identify, eliminate and prevent payroll fraud?
Join Peter Goldmann, president of FraudAware as he outlines strategies for detecting and preventing payroll fraud.
With 1.2 billion monthly active users on Facebook alone, it’s not surprising that social media networks can be a rich source of information for investigators. And because Americans spend more time on social media than any other major Internet activity, including email, social media information and evidence is plentiful. You just need to know how to get it.
Finding, preserving and collecting social media evidence often requires some forensic skills, as well as an understanding of the laws that govern its collection and use. It’s important for investigators to be aware of both the possibilities and limitations of social media forensics.
Preventing Family Responsibilities DiscriminationCase IQ
Family Responsibilities Discrimination (FRD), also known as Caregiver Discrimination, is employment discrimination against workers based on their family caregiving responsibilities. It may affect parents of young children, pregnant women, employees with an ill family member or with aging parents or sick spouses or partners. Discrimination can include being rejected for a job or promotion, being denied leave or flexibility to which the employee is entitled, or being demoted, harassed, or fired when employers allow stereotypical notions of caregivers to affect their work-related decisions.
Employers who discriminate against employees because of their caregiver responsibilities could face legal action, reputation damage and low employee morale, so it’s important to put in place measures to prevent this type (and all types) of discrimination.
Workplace Investigations: Managing 5 Challenging WitnessesCase IQ
Workplace investigators encounter a wide variety of people over the course of an investigation, some more challenging than others. Effective handling of each complainant, alleged wrongdoer and witness is crucial to the outcome of the investigation, and good interviewing and investigation skills will always be needed, no matter what challenges they throw your way.
Watch as Bill Nolan, Managing Partner of Barnes & Thornburg LLP’s Ohio office and author of the popular blog series: The Witness Files, outlines strategies for handling five situations you may encounter in a workplace investigation.
Investigation Report Writing: A Nuts and Bolts ApproachCase IQ
Many investigation reports are written poorly because investigators simply don’t know what to include. Poorly written reports provide little value and may even increase a company’s legal risk. A well written investigation report presents the right information, includes careful analysis and reaches a conclusion.
Meric Bloch, author, trainer, speaker and Principal of Winter Compliance, as he outlines the fundamentals of writing investigation reports.
You will learn:
-What information to include and how to include it
-How to assess witness credibility
-Strategies for evaluating proof
-How to present findings
-How to avoid the most common report writing mistakes
Ethical Investigation Interviews: The PEACE ModelCase IQ
The aggressive, intimidating interrogation tactics you see on television don’t always work. Not only can they discourage the interviewee from giving you the information you need, but also they have been shown, on occasion, to elicit false confessions. A more conversational interviewing style, based on science, which builds trust and rapport, is the way forward, say some psychologists. This philosophy is encapsulated in the PEACE Model of investigative interviewing, developed in the early 90s and used by law enforcement in the UK, Canada, Australia since then.
The ability to write clear, concise, accurate and informative investigation reports is a valuable skill for investigators of all kinds. A well-written investigation report provides a complete picture of the incident or event and leaves no questions unanswered about who did what, when and how and is written in language that can be understood by anyone reading it.
Unfortunately, many investigators see writing effective investigation reports as a chore, and that’s why so many reports are rushed, poorly written and incomplete.
Technology Explosion and Future of Investigations Case IQ
Technology is exploding at an exponential rate and is already creating challenges for investigators of all types, from human resources to law enforcement. Cloud computing and the pervasive use of mobile devices have made it harder for investigators to identify and preserve digital evidence. New encrypted phone apps and virtual private networks have made it easier for people to hide and to cover their tracks.
We also need to think about how technology can produce new types of crime that have never been seen before. Join Walt Manning, President of Investigations MD and the Techno-Crime Institute as well as a speaker and trainer, as he discusses strategies for preparing for the future of investigations.
The webinar will cover:
• How technology is already changing the rules for investigators
• Avenues new technologies will open up for fraud and other misconduct
• Examples of technology-enabled crimes of the future
What investigators should be thinking about today to prepare for the investigation strategies of tomorrow
Detecting and investigating vendor fraud mvwCase IQ
Vendor fraud schemes cost organizations in the US millions of dollars each year and no company is immune. Knowing what to look for and where to look is crucial to preventing, detecting and stopping this expensive fraud.
Join Maribeth Vander Weele, investigation expert, former inspector general and founder of the Vander Weele Group; as she presents case studies, practical examples, and discussion to outline strategies for detecting and investigating vendor fraud.
An average of 551 workers per year are killed as a result of work-related homicides, according to the US Bureau of Labor Statistics, and shootings account for more than three-quarters of these homicides. It’s important for anyone in human resources, corporate security, and every level of management to be trained in how to respond to an active shooter attack. Active shooter response teaches you and your staff how to escape, find cover, or fight back to increase your odds of survival.
You will elarn:
- How physical security measures can be a deterrent/preventative measure
- Important "Delay Tactics" and how to use them to increase positive outcomes
- How to identify the best escape routes and safe areas in your facility
- How to fight back when there is no other alternative
Investigation Interview: Elicitation TechniquesCase IQ
A successful interview requires strategic planning, well-thought-out questions and an objective interviewer. Yet, many investigators fail to gather the information they need in this phase due to inadequate training in the techniques necessary to get subjects to talk. In short, they lack a full understanding of effective elicitation techniques.
Join expert investigator, author and trainer, Van Ritch, as he outlines effective elicitation techniques that will help you get interview subjects to tell you what you need to know.
Most companies have ethics and compliance policies in place and those policies usually include training for employees. That training typically includes material about policies prohibiting discrimination and harassment, bribery and excessive gift-giving. But it usually does not teach employees how to recognize signs of fraud and how to report them.
Employee fraud awareness training is one of the most important ways your company can protect itself from fraud which, according to the Association of Certified Fraud Examiners, costs the average company five per cent of its revenues every year.
During this webinar you will learn:
How to conduct telephone interviews
Key differences between over-the-phone and in-person interviews
Special considerations
Challenges
Recording telephone interviews, disclosure (different laws in different states)
Detecting deception over the phone
Exercises for developing and improving skills
Investigators face ethical challenges frequently and handling them effectively is important both for the integrity of the profession and their reputations. An investigators’ code of ethics is a good starting point, but it only outlines expectations. Investigators need the knowledge and skills to anticipate and react when an ethical issue arises.
Whether you are in human resources, corporate security, ethics and compliance or any management position, getting people to make ethical decisions is an important part of your job. Your organization’s performance and reputation depends on it. It’s up to leaders to set the tone so that ethics becomes ingrained in the company culture, but many of us don’t really understand what influences our decision making and how we can encourage ourselves and others to act ethically.
Sexual Harassment Investigations in the News: Lessons Learned From a Year of ...Case IQ
If 2018 was the year of high-profile harassment investigations, 2019 should be the year of putting into practice what we learned from them. As scandal after scandal unfolded, employers scrambled to get to the root of the problems and mitigate the damage. We learned valuable lessons on how not to respond to sexual harassment allegations and how to conduct effective workplace investigations.
It’s important to put what we’ve learned into practice and map out a way forward for 2019. Join Angela J. Reddock-Wright, employment attorney, mediator, arbitrator, investigator and trainer, as she reviews the lessons learned from the high-profile sexual harassment cases that shaped the news in 2018 and outlines a progressive plan for prevention, investigation and resolution.
The webinar will cover:
An overview of newsworthy sexual harassment cases from 2018
What went wrong and why
How to respond effectively to allegations of sexual harassment
How to prevent sexual harassment in the workplace
Training every manager and employee should have annually
Payroll fraud is the most common form of employee theft and of all the accounting fraud scams it’s one of the hardest to detect. One of the difficulties in stopping payroll fraud is the different types of scams that exist. How can you implement policies, procedures and strategies to identify, eliminate and prevent payroll fraud?
Join Peter Goldmann, president of FraudAware as he outlines strategies for detecting and preventing payroll fraud.
With 1.2 billion monthly active users on Facebook alone, it’s not surprising that social media networks can be a rich source of information for investigators. And because Americans spend more time on social media than any other major Internet activity, including email, social media information and evidence is plentiful. You just need to know how to get it.
Finding, preserving and collecting social media evidence often requires some forensic skills, as well as an understanding of the laws that govern its collection and use. It’s important for investigators to be aware of both the possibilities and limitations of social media forensics.
Preventing Family Responsibilities DiscriminationCase IQ
Family Responsibilities Discrimination (FRD), also known as Caregiver Discrimination, is employment discrimination against workers based on their family caregiving responsibilities. It may affect parents of young children, pregnant women, employees with an ill family member or with aging parents or sick spouses or partners. Discrimination can include being rejected for a job or promotion, being denied leave or flexibility to which the employee is entitled, or being demoted, harassed, or fired when employers allow stereotypical notions of caregivers to affect their work-related decisions.
Employers who discriminate against employees because of their caregiver responsibilities could face legal action, reputation damage and low employee morale, so it’s important to put in place measures to prevent this type (and all types) of discrimination.
Workplace Investigations: Managing 5 Challenging WitnessesCase IQ
Workplace investigators encounter a wide variety of people over the course of an investigation, some more challenging than others. Effective handling of each complainant, alleged wrongdoer and witness is crucial to the outcome of the investigation, and good interviewing and investigation skills will always be needed, no matter what challenges they throw your way.
Watch as Bill Nolan, Managing Partner of Barnes & Thornburg LLP’s Ohio office and author of the popular blog series: The Witness Files, outlines strategies for handling five situations you may encounter in a workplace investigation.
Investigation Report Writing: A Nuts and Bolts ApproachCase IQ
Many investigation reports are written poorly because investigators simply don’t know what to include. Poorly written reports provide little value and may even increase a company’s legal risk. A well written investigation report presents the right information, includes careful analysis and reaches a conclusion.
Meric Bloch, author, trainer, speaker and Principal of Winter Compliance, as he outlines the fundamentals of writing investigation reports.
You will learn:
-What information to include and how to include it
-How to assess witness credibility
-Strategies for evaluating proof
-How to present findings
-How to avoid the most common report writing mistakes
Ethical Investigation Interviews: The PEACE ModelCase IQ
The aggressive, intimidating interrogation tactics you see on television don’t always work. Not only can they discourage the interviewee from giving you the information you need, but also they have been shown, on occasion, to elicit false confessions. A more conversational interviewing style, based on science, which builds trust and rapport, is the way forward, say some psychologists. This philosophy is encapsulated in the PEACE Model of investigative interviewing, developed in the early 90s and used by law enforcement in the UK, Canada, Australia since then.
The ability to write clear, concise, accurate and informative investigation reports is a valuable skill for investigators of all kinds. A well-written investigation report provides a complete picture of the incident or event and leaves no questions unanswered about who did what, when and how and is written in language that can be understood by anyone reading it.
Unfortunately, many investigators see writing effective investigation reports as a chore, and that’s why so many reports are rushed, poorly written and incomplete.
Technology Explosion and Future of Investigations Case IQ
Technology is exploding at an exponential rate and is already creating challenges for investigators of all types, from human resources to law enforcement. Cloud computing and the pervasive use of mobile devices have made it harder for investigators to identify and preserve digital evidence. New encrypted phone apps and virtual private networks have made it easier for people to hide and to cover their tracks.
We also need to think about how technology can produce new types of crime that have never been seen before. Join Walt Manning, President of Investigations MD and the Techno-Crime Institute as well as a speaker and trainer, as he discusses strategies for preparing for the future of investigations.
The webinar will cover:
• How technology is already changing the rules for investigators
• Avenues new technologies will open up for fraud and other misconduct
• Examples of technology-enabled crimes of the future
What investigators should be thinking about today to prepare for the investigation strategies of tomorrow
Detecting and investigating vendor fraud mvwCase IQ
Vendor fraud schemes cost organizations in the US millions of dollars each year and no company is immune. Knowing what to look for and where to look is crucial to preventing, detecting and stopping this expensive fraud.
Join Maribeth Vander Weele, investigation expert, former inspector general and founder of the Vander Weele Group; as she presents case studies, practical examples, and discussion to outline strategies for detecting and investigating vendor fraud.
An average of 551 workers per year are killed as a result of work-related homicides, according to the US Bureau of Labor Statistics, and shootings account for more than three-quarters of these homicides. It’s important for anyone in human resources, corporate security, and every level of management to be trained in how to respond to an active shooter attack. Active shooter response teaches you and your staff how to escape, find cover, or fight back to increase your odds of survival.
You will elarn:
- How physical security measures can be a deterrent/preventative measure
- Important "Delay Tactics" and how to use them to increase positive outcomes
- How to identify the best escape routes and safe areas in your facility
- How to fight back when there is no other alternative
Investigation Interview: Elicitation TechniquesCase IQ
A successful interview requires strategic planning, well-thought-out questions and an objective interviewer. Yet, many investigators fail to gather the information they need in this phase due to inadequate training in the techniques necessary to get subjects to talk. In short, they lack a full understanding of effective elicitation techniques.
Join expert investigator, author and trainer, Van Ritch, as he outlines effective elicitation techniques that will help you get interview subjects to tell you what you need to know.
Most companies have ethics and compliance policies in place and those policies usually include training for employees. That training typically includes material about policies prohibiting discrimination and harassment, bribery and excessive gift-giving. But it usually does not teach employees how to recognize signs of fraud and how to report them.
Employee fraud awareness training is one of the most important ways your company can protect itself from fraud which, according to the Association of Certified Fraud Examiners, costs the average company five per cent of its revenues every year.
During this webinar you will learn:
How to conduct telephone interviews
Key differences between over-the-phone and in-person interviews
Special considerations
Challenges
Recording telephone interviews, disclosure (different laws in different states)
Detecting deception over the phone
Exercises for developing and improving skills
Investigators face ethical challenges frequently and handling them effectively is important both for the integrity of the profession and their reputations. An investigators’ code of ethics is a good starting point, but it only outlines expectations. Investigators need the knowledge and skills to anticipate and react when an ethical issue arises.
Whether you are in human resources, corporate security, ethics and compliance or any management position, getting people to make ethical decisions is an important part of your job. Your organization’s performance and reputation depends on it. It’s up to leaders to set the tone so that ethics becomes ingrained in the company culture, but many of us don’t really understand what influences our decision making and how we can encourage ourselves and others to act ethically.
Sexual Harassment Investigations in the News: Lessons Learned From a Year of ...Case IQ
If 2018 was the year of high-profile harassment investigations, 2019 should be the year of putting into practice what we learned from them. As scandal after scandal unfolded, employers scrambled to get to the root of the problems and mitigate the damage. We learned valuable lessons on how not to respond to sexual harassment allegations and how to conduct effective workplace investigations.
It’s important to put what we’ve learned into practice and map out a way forward for 2019. Join Angela J. Reddock-Wright, employment attorney, mediator, arbitrator, investigator and trainer, as she reviews the lessons learned from the high-profile sexual harassment cases that shaped the news in 2018 and outlines a progressive plan for prevention, investigation and resolution.
The webinar will cover:
An overview of newsworthy sexual harassment cases from 2018
What went wrong and why
How to respond effectively to allegations of sexual harassment
How to prevent sexual harassment in the workplace
Training every manager and employee should have annually
Sexual Harassment and Retaliation in the Workplace in the Wake of #metoo and ...Case IQ
Allegations of sexual impropriety have been bubbling up in Hollywood, the media, sports and politics over the past months, exposing a deep-rooted and pervasive culture of harassment and discrimination in workplaces all over North America. Both women and men are becoming more empowered to speak up, fueled by the #metoo and #TimesUp movements and the attention the issue of sexual harassment and abuse of power is getting.
But coming forward has its risks. Victims still lose their jobs at much higher rates than do their abusers: 89% compared to 18%, according to a study by the Workplace Bullying Institute.
It’s critical for employers and managers to understand the importance of responding appropriately to complaints of sexual harassment and abuse of power and avoidance of retaliation.
Join Virginia MacSuibhne, speaker, author and Chief Compliance Officer at Roche Molecular Solutions, as she outlines best practices for responding to allegations of sexual harassment and abuse of power in the workplace.
Choose a case where a whistleblower has reported an activity that he.docxAgripinaBeaulieuyw
Choose a case where a whistleblower has reported an activity that he/she considers to be illegal or dishonest to one or more of the parties involved. Write for that industry. If you are not currently involved in any industry, choose a hypothetical industry. You may use a current whistleblower case in the news, such as the Veterans Administration or the Eric Snowden case.
Address the following in your case analysis:
Whether or not it was ethical to be the whistleblower.
The way in which he or she exposed how the information was being used.
Discuss how he or she should have followed proper protocol (such as that required of a contractor, e.g.).
Discuss the reasons for leaking the documents to various media resources.
How does the reporting affect the company that the whistleblower was working for?
What are the ethical implications of the actions?
How might you, as a company representative, handle a situation like this?
What is your view regarding the case you chose?
Support your stand based on what you have learned in the course.
Discuss and define a whistleblower as defined by the policy of the company/organization you have chosen. Explain who reports an activity that he or she considers illegal or dishonest to one or more of the parties specified.
The whistleblower is not responsible for investigating the activity or for determining fault or corrective measures; appropriate management officials are charged with these responsibilities.
Give some examples of illegal or dishonest activities that are violations of federal, state or local laws.
If an employee has knowledge of or a concern about illegal or dishonest fraudulent activity, the employee is to contact his or her immediate supervisor or the Human Resources Director. Do you agree with this protocol?
I CHOSE ENRON AS MY CASE
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Talk at UN Gender Focal Point meeting 12 October 2018, UNAIDS, GenevaGry Tina Tinde
Outline of #MeToo #MeTooUn #AIdToo issues such as sexual harassment tactics, using a survivor-centered appraoch, including these and women's security awareness in onboarding training. Role of bystanders/observers to sexual harassment is tricky, as most victims and bystanders are women and most harassers are male managers, according to research referred to in the presentation.
In today’s workplaces, human resources professionals often take on the role of ethics advisors to managers and employees in the company. When workplace misconduct surfaces, the HR team may be called upon to assist in internal investigations and spread awareness of ethics issues to help prevent future code of ethics violations. HR professionals need to be able to recognize when ethical issues need to be addressed and understand how to develop techniques for resolving them.
Join Angela Reddock-Wright, employment attorney, author and speaker, as she discusses practical strategies for identifying and resolving ethics issues in the workplace.
Webinar attendees will learn:
When to escalate ethics issues and to whom
How to identify early warning signals of conflict between personal and work values
How to address specific employment-related ethical issues and conflicts
Leading strategies for handling ethical issues in the workplace
Key elements of an organizational code of ethics
How ethics affect a company’s bottom line
Sexual Harassment: Is It or Isn’t It - Infographichmuamer
Sexual harassment is often thought of as obvious displays of inappropriate behavior that very clearly crosses boundaries. However, in reality, classifying behavior as illegal sex-based harassment is much more complex.
Running head LEGAL POLICY AND HUMAN RESOURSE .docxwlynn1
Running head: LEGAL POLICY AND HUMAN RESOURSE 1
LEGAL POLICY AND HUMAN RESOURCE 4
Legal Policy and Human Resource
Student’s Name
Institution Affiliation
Legal Policy and Human Resource
Written presentation
A written presentation in a legal case and a legal concept is more often beneficial regardless of the case may be or whether a court has directed one to file any. Judges barely complain about written presentation so long as the opposing party is given a copy. Written submission entails the identity of the case plus the party which a barrister is writing the presentation for. It should be brief and not repetitive, be rightfully structured according to the nature of a case, e.g., use of appropriate headings and sub-heading, provide tables of content in complex cases. Headings should not be generic but rather useful, be in a logical order for easy decision making. A written presentation should be written early and often. A problem may arise when drafting the presentation and the earlier they are identified, the easier it will be to fix them.
The written presentation should at least be submitted to a judge a day before the hearing. It is better for one to email the presentation to the chamber then file them at the registry. Written submission should contain an opening, legal issues, and closing submissions. After one is done with writing the presentation, he/she should proofread it to collect grammatical errors, spelling mistakes, and poor formatting.
Oral presentation
In oral presentations, the first golden rule is for barristers to know that their first duty is not to their clients but rather to the court. A lawyer must never mislead a court because the court looks upon them for assistance (Mlphurs, 2013). If a court asks a question, the lawyer should answer it; if he or she is unable to answer, he should seek for assistance or take the question on notice. During the hearing, a lawyer should announce his or/her name and the party he appears for transparently. He/she should be prepared with short written notes discussed with any other side beforehand. State matters that are contentious and those that are not, have documents needed ready and copies for the opposing party, bring copies to the court as well and be aware of the power that the court posses to grant the orders your seeking. In the notice of the motion, a lawyer should state the power for relief sought if it is not contained in motion, give copies of any written evidence to the opponents, give summary of the details in the presiding, state what evidence he/she is relying on, The oral presentation should also have an opening submission, evidence, and closing submission. The opening submission should be brief, the evidence should be relevant and finally the closing submission should be referred back to the evidences provided.
Legal terminologies in employmen.
How Best Practices in Triage Protocol Can Boost Compliance and Reduce RiskCase IQ
With recent announcements of increasingly stringent federal policies around record-keeping and due diligence, compliance and investigation professionals are feeling the pressure to demonstrate consistency and rigor in their case management processes.
Planning your investigation, having the right team members involved and reporting on outcomes of an investigation can all be difficult phases of the process.
However, being able to demonstrate that you are quickly, consistently and accurately triaging incidents is even more important now.
The key is to establish decision-making approaches and plan out your entire protocol before the matter comes to your attention through hotline reporting or other mechanism. This ensures structure and success as you triage, investigate, staff the investigation properly and meet the inevitable challenges of reporting and addressing the root causes of incidents.
How to Drive Efficiency and Reduce Risk with Investigative Case Management So...Case IQ
In order to avoid risk while running a successful organization, today’s leaders need to do more than react to cases of harassment, misconduct and employee fraud. They need to prevent these issues. Purpose-built case management software provides data-driven reports that help companies manage risk, spot trends and protect employees and the organization by preventing incidents, as well as fines and reputation damage.
But home-grown or dated solutions come with many challenges. For instance, managing incidents and investigations using manual methods leads to duplication of effort and information silos, resulting in inefficiency. Using these solutions also comes with security risks and inconsistent documentation, opening the company up to fines and lawsuits.
i-Sight’s powerful case management platform streamlines your investigative process and provides the data you need to analyze results, prevent incidents and protect your employees. You’ll save time and money, ensure compliance, and reduce risk, all with one tool.
Who's Lying? Using the Cognitive Interview to Assess Credibility in Workplace...Case IQ
When investigating a “he said/she said” case of sexual harassment or other alleged misconduct, are you using scientifically validated methods to interview witnesses, assess their credibility, and reach a defensible conclusion?
Over the past 15 years, scientists have found that much of the conventional wisdom on how to effectively interview witnesses and determine truthfulness is wrong. At the same time, courts have found companies liable for using scientifically unproven interviewing techniques in workplace investigations.
In this webinar you will learn about the hundreds of research studies that scientists have conducted on how to best interview witnesses and assess credibility. You will learn how to apply these scientifically validated methods to your investigations.
Join the i-Sight team and former U.S. Department of Justice attorney Michael Johnson as they discuss how to apply these scientifically validated methods to your investigations.
Protecting the Mental Wellbeing of Corporate InvestigatorsCase IQ
Vicarious trauma is a type of second-hand psychological response most often associated with first responders and front-line crisis workers. Although corporate incident investigators and HR and compliance professionals are usually not the first on the scene, they frequently find themselves listening to both victims and accused people who recount what could be the worst days of their professional lives.
There is no doubt that the case management process can be stressful and sometimes triggering for those who are managing it. The personal and organizational impacts can include compromised risk assessment and investigations, investigator burnout and absenteeism, and a less healthy workplace overall.
Join expert workplace investigator Ken McCarthy as he shares his experience with vicarious trauma and compassion fatigue resulting from his involvement in workplace investigations.
As an investigator, you don’t define your value to the organization; leadership does. What are you doing to be a better business advisor and contribute to the organization’s goals? In other words, why should the bosses listen to you?
Because misconduct doesn’t happen in a vacuum! It results from a perfect storm of factors like employee ignorance, a failure to see the larger implications, a lack of training and procedures, or a failure of internal controls. And you have a view to all of this in your cases.
This webinar outlines how you can become a better strategic advisor, how to think like a business leader, and what keeps executives awake at night. You’ll learn how case management can drive a culture of prevention, and how you can prove the bottom-line ROI of investigations.
Join Meric Bloch, Strategic Advisor at Winter Investigations as he discusses how investigators can become business advisors to the C-suite using their knowledge of case management and risk assessment.
In this webinar, you will learn:
Goals of a strategic business advisor.
-What advice does a strategic advisor give?
-What should a strategic advisor not do?
-How an investigator can become a strategic advisor.
-How stellar case management positions investigators as strategic advisors.
5 Steps to Creating an Ethical Work CultureCase IQ
You get it. Being an ethical organization matters. A lot.
But ethics isn’t just a quarterly HR campaign or a glossy conduct guide; in order to really have a bottom-line business impact, organizational ethics must function as an integral pillar of company culture over time.
So, what are the best practices to make sure your organization is regularly thinking about ethics and including it in everyday decision making? What are some creative ways to bring focus to this vital but often overlooked function? And how can you most effectively deal with and investigate an incident or a breach when it occurs?
How to Assess, Level Up, and Leverage Your Culture of ComplianceCase IQ
Compliance officers know that a strong culture of compliance is indispensable to risk management and better business performance in the modern world. So how, exactly, can you capture insights into the current state of your corporate culture, and then use that information to (1) shore up weak spots in ethics and compliance operations; and (2) leverage a strong culture of compliance for better operations across the enterprise?
Join Matt Kelly, Editor and CEO of RadicalCompliance.com, as he discusses how and why compliance leaders need to use data to improve their investigations and corporate culture.
Everything You Need to Get E&C Investigations Right (According to the DOJ)Case IQ
Internal investigations have long been a part of every ethics & compliance program and every E&C professional’s tool kit. However, the US Department of Justice has made clear that internal investigations are more important than ever.
In October 2021, Deputy Attorney General Lisa Monaco reinstituted the substance of the Yates Memo, requiring companies to turn over all information on any culpable individuals. Recent criminal enforcement actions by the DOJ have thrown new and increasing scrutiny on internal investigations. Now, CCOs and CECOs must certify compliance in any FCPA settlement.
In short, getting E&C internal investigations right has taken on a new importance.
5 Ways to Build Employee Trust for Less Turnover and Fewer IncidentsCase IQ
Over the past few months, we’ve seen employees quit in record numbers. While there are many reasons for “The Great Resignation”, a standout is employee trust. A study from Gallup suggests that only one in three employees strongly agree that they trust the leadership of their organization.
Employees want to trust the companies they work at and the people they work with. They want to feel comfortable coming to HR with their complaints and concerns. But building trust takes time, and effort. As organizations are planning their post-pandemic strategies, now is a perfect time to place an intentional emphasis on building trust.
Hybrid Workplace Harassment: Are You Protecting Your Company from Hidden Thre...Case IQ
In today’s “new world of work,” many organizations run on a hybrid model, with some employees working remotely and others in the physical office. While this set-up is convenient, it can cause unique interpersonal issues between employees.
Reduced face-to-face communication makes it harder for teams to bond, while making it easier for harassers to get away with bad behavior. To reduce harassment incidents in your hybrid workplace, you need to foster a culture of openness, willingness to learn, and compassion.
Join workplace investigation and executive management expert Kenneth McCarthy as he outlines how to address and prevent hybrid workplace harassment incidents.
Finding Value Before a Crisis: How Workplace DEI Drives Revenue and Prevents ...Case IQ
The topic of workplace diversity, equity, and inclusion is at an all-time high right now. It has been proven that there is a direct correlation between inclusive workforces, productivity, and revenue. According to the McKinsey & Company diversity report, “companies in the top-quartile for ethnic and cultural diversity on executive teams were 33% more likely to have industry-leading profitability.”
Without a strong DEI program, though, your organization could face internal harassment incidents, discrimination lawsuits, high employee churn, and a poor corporate reputation, leading to lost customers and clients.
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Best practices for addressing and preventing bullying and harassment
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6. Fox News settles sexual
harassment for $20 million
Berkeley law school dean
who resigned over sexual
harassment allegations files
discrimination suit
11. EEOC Study Findings (cont . . .)
The least common response of either men
or women to harassment is to take some
formal action – either reporting the
harassment internally or file a formal
legal complaint.
11
12. EEOC Study Findings (cont . . .)
Only 30% of individuals who experienced harassment talked with a
supervisor, manager, or union representative about the alleged
misconduct.
Gender-harassing conduct almost never was reported.
Unwanted physical touching is formally reported 8% of the time.
Sexually coercive behavior was reported by only 30% of women who
experienced such conduct.
12
13. Poll Question
Does your company conduct training in conducting sexual harassment
investigations?
13
14. What Does this Mean for Investigators?
In many instances, by the time a person reports harassment:
they have thought long and hard about it
they possibly have experienced substantial emotional, mental and
other distress
they are fearful to report the alleged misconduct
they are concerned about possible retaliation
they may or may not have a clear memory of the alleged misconduct
they may be under the care of a health care professional
they may have consulted with legal counsel
14
15. EEOC Recommendations
Strong Anti-Harassment Policies
Zero Tolerance Policies and Application
Clear Reporting Systems for Harassment, Investigations &
Corrective Actions
Effective Anti-Harassment Training
Workplace Civility & Bystander Intervention Training
15
16. EEOC Recommendations: Anti-
Harassment Policies
A clear explanation of prohibited conduct, including examples
Assurance of no retaliation
A clearly described complaint process that provides multiple,
accessible avenues of complaint
Assurance that the employer will protect the confidentiality of
harassment complaints to the extent possible
A complaint process that provides for a prompt, thorough, and
impartial investigation; and
Assurance that the employer will take immediate and proportionate
corrective action when it determines that harassment has occurred.
16
17. EEOC Recommendations:
Investigations
Employers should devote sufficient resources to investigations
Ensure investigations are prompt, objective, and thorough
Keep the investigation as confidential as possible
17
19. Upon Receipt of the Complaint
Is the complaint oral or in writing?
If oral, try documenting in your own words the complaint and
any facts or information known at the time.
If in writing, review the complaint noting the following:
Name of the complainant
Name of the respondent
Any witnesses identified
Date filed
Any issues raised related to the safety of the complainant or any witnesses
19
20. Notification to the Parties
Notification to the Complainant
Receipt of complaint
Complaint is taken seriously
Will commence an immediate investigation
Protected by policies against retaliation
Notification to the Respondent
Receipt of complaint making allegations against the complainant
Due Process: will have an opportunity to respond; ensure fairness
Duty not to retaliate against complainant or any individuals involved
20
21. Preliminary Questions/Issues
Do the parties need to be separated? Can they continue to work
together in the same work area or location?
Does any evidence need to be preserved? For example, text
messages, social media posts, photos?
Do any managers or supervisors need to be placed on notice of the
complaint?
For purposes of ensuring no retaliation against the complainant
or any witnesses
And to help manage confidentiality and any rumors or other
matters related to the investigation.
21
22. Organizing the Investigation
Create a preliminary investigation outline/plan:
What is the complaint? What are the issues to be investigated?
Who should be interviewed?
The Complainant
The Respondent
Relevant witnesses identified by complainant and respondent
Other relevant witnesses determined by the investigator
22
23. Organizing the Investigation
(cont . . .)
What documents/physical evidence are needed?
The complaint, if written
Possibly either the complainant’s or respondent’s personnel files
History of other complaints by the complainant and/or against
the respondent
Emails, text message, chat, messenger, and other
correspondence between the complainant, respondent, or
relevant witnesses
Social media posts
Photos
23
24. Organizing the Investigation
(cont . . .)
What company/organization policies possibly are at issue?
Anti-Discrimination & Harassment Policy
Reporting & Investigation Policy (if separate from the anti-
discrimination and harassment policy)
Social Media Policy
Workplace Bullying Policy
General Decorum/Workplace Standards & Expectations Policy
(ies)
24
25. Organizing the Investigation
(cont . . .)
Timelines?
When must the investigation be completed?
Are there any special timelines?
Any vacation or leave considerations?
Logistics
Where will you conduct witness interviews? By telephone or any
person? Ensure privacy.
Who is the primary contact for the investigation? Who will the final
report go to?
25
26. What Type of Sexual Harassment
Claim Are You Investigating?
26
27. Sexual Harassment: Two Types
Quid Pro Quo Harassment – “This for That”
When a person in authority, such as a manager or supervisor
Makes an unwelcome sexual advance or request for a sexual favor to an employee
And the employee’s submission to or rejection of the advance is a condition of employment.
Hostile Work Environment:
Conduct of a sexual nature that is
Severe and pervasive
Interferes with a person’s work environment or performance
Can take place between co-workers, employees and supervisors, contractors,
suppliers, vendors, etc.
27
28. Third Party Sexual Harassment (Sexual Favoritism)
Third party sexual harassment is:
Widespread favoritism shown by a manager or supervisor
That is based on sexual favors provided by an employee to a manager/supervisors
Where a 3rd
party employee is not directly involved in the sexual conduct, but believes
there may be favoritism or special treatment towards the employee(s) providing the
sexual favors or conduct.
Example: A manager who has a romantic relationship with an employee at work and
displays that relationship at work, can cause other employees to believe that the
employee the manager is involved with is getting special treatment or favoritism.
28
29. Common Examples of Sexual Harassment
Unwanted sexual advances
Example: Asking someone out repeatedly for a date when they are not
interested.
Offering an employment benefit in exchange for sexual favors
Example: I will ensure you get that promotion if you sleep with me.
Visual conduct such as leering, making sexual gestures, displaying
suggestively suggestive objects, or pictures, cartoons or posters
Sending sexually-related text messages, videos or messages via
social media
Example: A text message that says, “Hey, I think you are hot.”
29
30. Common Examples of Sexual Harassment (cont .
. .)
Verbal abuse of a sexual nature
Example: Making the comment “Women can’t do anything right!”
Physical conduct such as touching, assault, impeding or blocking
movement.
Example: Blocking the door to the break room.
Verbal abuse concerning a person’s physical characteristics
Example: Making a comment such as “Hey, you have big hands/feet – we
know what that means!”
30
31. Common Examples of Sexual Harassment (cont .
. .)
Jokes, whether written, verbal or electronic
Example: The latest sex or racial joke may be funny, but not appropriate for
the workplace.
Threats, intimidation, and other menacing behavior
Example: “Do what I say, or else you will have to pay!”
Jokes, whether written, verbal or electronic
Example: The latest sex or racial joke may be funny, but not
appropriate for the workplace.
Threats, intimidation, and other menacing behavior
Example: “Do what I say, or else you will have to pay!”
31
32. Not Your Mother’s Sexual Harassment
Anymore
Remember, claims of sexual harassment can be based on:
Traditional male vs female
Same sex
Transgender and other gender related claims
32
33. California Law: The Various Forms of
Sex/Gender Discrimination
Sex vs. Gender vs. Gender Identity vs. Gender Expression vs. Sexual
Orientation
Sex – how a person is born – their biological status
Gender – behavior that is consistent with traditional cultural norms
of how a person of a certain gender acts – (i.e. so a person who is
female, may exhibit the characteristics of a person who is male and
choose to identify their gender as male)
Gender Identity – How a person chooses to identify themselves (see
example above)
Gender Expression – how a person chooses to express their gender
(i.e. in terms of how they dress, speak, act, etc.)
Sexual Orientation – a person’s relationship choices (i.e.
heterosexual, bi-sexual, homosexual)
33
34. Fact Findings vs. Legal Findings
Remember:
Your role is that of a neutral fact finder.
Your role is to make factual vs. legal findings.
You will decide whether, based on a preponderance of the evidence
standard, the conduct alleged more likely occurred than not.
CAUTION: You are not making legal findings – the prior
slides give you context for understanding the basic types
of sexual harassment claims under U.S. federal, and most
state laws. Ultimately, you should rely on your company
or organization’s internal policies and the law and
standards applicable in your jurisdiction.
34
35. Poll Question
Do you have more than one person in the room when interviewing
complainants?
35
36. Interviewing the Complainant
Make contact with the complainant prior to the interview to
introduce yourself and to ensure the complainant that you and the
company/organization take the complaint seriously and will take all
steps to ensure a thorough and fair investigation.
Ensure a private telephone line and/or confidential and private
location for the interview.
At the beginning of the interview, introduce yourself, explain your
role, the process and expected timing of the investigation.
Ensure confidentiality to the extent possible and no retaliation.
36
37. Sample Statement Regarding Confidentiality
I am a neutral fact finder. I will ensure confidentiality to the extent possible and
I will ask every witness I meet with to keep the investigation confidential to
ensure integrity in the process.
Because my role as the investigator is to fully investigate and understand all
facts relevant to your complaint, I cannot ensure 100% confidentiality.
However, I will ensure I do not disclose any information to any person who
does not have the right to know information related to your complaint, and I
will only disclose information as necessary.
Ultimately, I will provide a written report of the investigation and my findings.
That report will be kept confidential by human
resources/attorneys/executives charged with determining the next steps
following the completion of my investigation.
37
38. Interviewing the Complainant
(cont . . .)
Be sensitive to the complainant and any emotions the complainant
may feel as a result of the alleged misconduct and/or the
investigation process.
Although a sensitive situation, do not be afraid to ask the
complainant questions regarding the details of the allegations, even
if the details are potentially vulgar or offensive.
Ask the complainant for copies of any relevant documents and
information, including text messages, emails, social media posts,
photographs.
Ask the complainant if there are any other witnesses to the
allegations.
38
39. Interviewing the Respondent
Extend the same level of due process and courtesies to the respondent (i.e.
prior conversation, interview location, assurances of a fair process)
Adopt the principal of “innocent until proven guilty.”
Ask the respondent tough questions. Do not allow respondent to bully or
to deflect. Assure the person that you know these are tough questions but
you have a duty to get to the heart of the matter as the investigator.
Ask the complainant for copies of any relevant documents and information,
including text messages, emails, social media posts, photographs.
Ask the complainant if there are any other witnesses to the allegations.
39
40. Interviewing Witnesses
Ensure the same courtesies and comforts extended to the
complainant and respondent
Advise the witness of the need to keep the investigation
confidential and the duty not to retaliate if they are in a position of
authority
Your questioning should hone in on the details of what the witness
knows or may know, or witnessed or may have witnessed (or not)
Ask the witness if he or she is aware of any ulterior motivations that
the complainant or respondent may have
Ask the witness for names of other potential witnesses
Ask the witness for any documents or information he or she may
have relevant to the investigation
40
42. Determining Witness Credibility
42
How do you know if a witness is credible? (See EEOC Guidance at
www.eeoc.gov)
If there are conflicting versions of the events, consider the following:
• Plausibility – Is the witness’s version of the facts believable? Does it
make sense?
• Demeanor – Does the witness seem to be telling the truth?
• Motive – Does the person have a reason to lie?
• Corroboration – Are there documents or other witnesses that support
the witness’s version of the events?
• Past Record - Does the alleged wrongdoer have a past record of
inappropriate conduct?
42
43. Is the Investigation Done?
Do you have a clear understanding of the allegations of the
complaint and the issues of the investigation?
Have you interviewed the complainant, respondent, and all relevant
witnesses?
Have you obtained copies of all relevant documents and
information?
Have you identified clearly which policies are at issue?
43
44. Preparing to Write the Investigation
Report
44
The final documents of the investigation should include:
• The complaint and any rebuttal
• All drafts and final copies of your handwritten, typewritten and/or
recorded witness interviews and any related notes and
documents
• All documents and evidence provided to you during the
investigation (noting that which supports, refutes or has no
bearing on your final conclusion)
• Copies of any relevant policies
• Documentation regarding any discrepancies in the investigation
(e.g. witnesses that were not interviewed and the reasons why,
any documents or other evidence not included in the final
investigation report)
44
45. Reaching A Final Conclusion
What factors should you consider
in reaching a final conclusion to
the investigation?
• The strength of statements provided
by the complainant and the alleged
wrongdoer
• Corroborating and/or rebuttal
statements and information provided
by third-party witnesses
• Disputed vs. Undisputed Facts –
make a list
• The credibility of the complainant, the
alleged wrongdoer and third-party
witnesses
• Prior history of wrongdoing by the
alleged wrongdoer
• The company’s relevant policies and
practices
• The seriousness of the allegation
• Will this case set a certain precedent?
Is that a precedent the company wants
to set?
• Reaching conclusions based on
objective facts and evidence and not
opinion, rumor speculation or purely “he
said-she said” scenarios
• Was the investigation thorough and
objective?
REACH A CONCLUSION, UNLESS
DIRECTED OTHERWISE
45
46. Are You Ready to Write the Report?
• If you were to review
the investigation from
the point of view of
another person would
you consider the
investigation complete?
• Is follow-up information
needed?
• If you were the manager
charged with
making the final decision
resulting from the
outcome of the
investigation, would you
consider the investigation
complete?
46
47. Now You Are Ready: Organizing the
Investigation Report
47
Once you have completed the investigation, outline your investigation report
based on the following:
– Key Allegations
– For each allegation, list the following:
• Corroborating and/or rebuttal statements and information provided by
witnesses
• Disputed and undisputed facts related to the allegations
• The credibility of the complainant, the alleged wrongdoer, and any
witnesses relating to the allegation
• What documents and other evidence support or dispute the allegation
• Any relevant policies that apply to the allegation
• Your conclusion for each allegation 47
49. Suggested Investigation Report Format
• Cover Page
• Table of Contents (including a list of witnesses interviewed)
• Table of Exhibits
• Introduction
• Executive Summary
• Detailed Summary of Exhibits
• Detailed Listing of Witnesses
• Witness Interview Summaries
• Factual Analysis, Including Credibility Assessments
• Findings & Conclusions
49
50. Thank you for your time and attention today!
May you have many successful investigations
going forward.
Angela J. Reddock-Wright, Esq.
The Reddock Law Group
www.reddocklaw.com
(213) 996-8474; angela@reddocklaw.com
Contact us at i-Sight
j.gerard@i-sight.com
50