Investigating Employee Complaints (from WorkplaceInfo)

The document provides guidance on conducting employee investigations. It outlines steps to (1) assess the complaint by considering who is involved and what policies apply, (2) determine the objectives of the investigation such as building a legal case or instituting discipline, and (3) decide whether to involve third parties like lawyers or external investigators. It also discusses determining the status of the complainant and respondent during the investigation and best practices for conducting interviews of those involved in a confidential manner.

Documenting Your Workplace Investigation: Protect Your Case and Your Organiza...

Investigations depend on collecting and analyzing evidence. Documentation is an important part of any workplace investigation. It is used to record who said what and when, to outline issues and investigation steps, to synthesize evidence and ensure nothing falls through the cracks. The final report is where all the pieces come together. But many investigators aren’t sure how to best document their investigations. They write notes without knowing what to record and what to leave out and cobble together reports with no plan or organization. Join Meric Bloch as he outlines best practices for documenting workplace investigations.

Paralegal Power Break: Client Interview Techniques

Paralegal Rainmakers

Company Policy: Elements of Administrative Investigation and Progressive Disc...

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

Investigation Report Writing: A Nuts and Bolts Approach

Study People

SALIH AHMED ISLAM

Study People

Salih Islam

This document outlines the key steps and considerations in conducting a fraud investigation. It discusses collecting evidence through physical evidence, observations, and interviews. It also addresses establishing the scope of the investigation, notifying relevant parties, evaluating legal issues and mitigating losses, and determining investigation objectives. The engagement process involves defining services, objectives, methods, responsibilities and fees in an engagement letter.

ACCA-IIA Singapore Seminar 2015 Part 5 Investigation

BillyCheuk

1. The document provides guidance on conducting internal investigations into potential fraud, including receiving allegations, evaluating evidence, investigation protocols, interviewing suspects and witnesses, and reporting results. 2. Key steps discussed include categorizing issues, conducting objective fact-finding, developing confidential investigation plans, collecting and preserving evidence, and providing recommendations such as disciplinary action or criminal prosecution. 3. The presentation emphasizes the importance of lawful, fair, and impartial investigations to avoid legal risks like defamation or privacy violations while still thoroughly addressing potential fraud issues.

LawSense Law Conference 2015: Disciplinary Action Involving Teachers

Kerry O'Brien

This document summarizes key points from a presentation on disciplinary action involving teachers. It discusses what amounts to poor performance or misconduct, options for disciplinary actions, and managing the disciplinary process. Poor performance is assessed against standards and with objective documentation and review. Misconduct can occur at or outside of work. All disciplinary actions require consistency, promptness, confidentiality, and documentation. Termination requires valid reasons, notification, an opportunity to respond, and potentially notice periods. The presentation stresses properly following procedures to minimize risks of unfair dismissal or other claims.

Investigating Harassment Claims: What to Do When You Don’t Know What to Do

Investigating harassment in the workplace is a top priority for many organizations in 2018. Effective investigations lead to better risk management and prevention. But harassment allegations are among the toughest to investigate. Often, all you get is a “he said, she said” account. Competent investigators have the skills to get past these hurdles and find out the truth. Join Meric Bloch, Certified Fraud Examiner, expert investigator and trainer, as he examines the elements of a successful harassment investigation.

Lesson5

- Employee investigations involve documenting allegations, interviewing witnesses, collecting evidence, and maintaining an investigatory file. - The employee under investigation may be suspended if their continued employment poses a threat. Suspensions cannot last more than 30 days without pay. - Criminal allegations should be accurately documented and legal counsel/managers notified. For non-criminal issues, supervisors develop an investigation plan with HR and interview witnesses while allowing representation. - The investigatory file forms the basis for any disciplinary action and must be made available if the employee requests review.

Conducting Employee Investigations

This document provides guidance on conducting employee investigations. It discusses the typical sources of allegations, the supervisor's role in documenting allegations and gathering initial information, considerations for removing an employee from the work area during an investigation, rules around preventive suspension, responsibilities if a criminal allegation is made, and the purpose and use of the investigatory file. The file contains all materials from the investigation and forms the basis for any potential disciplinary action.

Ethical & Practical Issues in Managing Internal Investigations

Gowling WLG

This document discusses practical and ethical issues related to managing internal investigations. It notes that investigations may be required under human rights and health and safety legislation. Proper investigations are important to avoid punitive damages in wrongful dismissal cases. The document outlines best practices for structuring successful investigations, including moving quickly, selecting a qualified investigator, collecting evidence through interviews and documents, and preparing a thorough written report. It cautions that investigations must be conducted fairly and warns of potential pitfalls like bias, hindsight, and selective use of evidence.

Effective Fraud Investigations: 10 Keys to a Successful Outcome

A fraud investigation determines whether some scam has occurred and gathers evidence both to prove improper conduct and identify weaknesses in internal controls. A fraud investigation tends to be forensic in nature, emphasizing documentation rather than mostly witness interviews. And, of course, these investigations look to prove criminality as well as violations of internal policies. But a fraud investigation is still a workplace investigation. The same techniques, best practices and investigator boundaries apply. A thorough and fair investigation is always more important than a quick one, and the same basic rules should apply to any type of workplace investigation. The evidence gathering may be different, but the core of the investigation – the interview process, conclusions and reporting – should follow standard best practices. Join Meric Bloch, Certified Fraud Examiner, expert investigator and trainer, as he outlines the 10 keys to conducting a successful fraud investigation. The webinar will cover: Planning the investigation Fundamentals of evidence gathering Interviewing the involved parties Drawing a conclusion Writing an effective fraud investigation report

Establishing an Ethics Code for Investigators

Jessica Hannan HR Advisor

This document discusses establishing an ethics code for workplace investigators. It outlines key considerations for conducting ethical investigations such as being independent, impartial, and treating all participants with respect. The document also provides examples of proper investigation techniques like conducting a good faith inquiry and protecting confidentiality, as well as things an ethical investigator should avoid such as using intimidation tactics. Overall, the document emphasizes the importance of fairness, truth-seeking, and using lawful and legitimate methods in workplace investigations.

10_conducting_an_investigation_and_preparing_for_a_disciplinary__update_1

This document provides guidance on conducting workplace investigations and disciplinary procedures. It discusses investigating allegations, including appointing an impartial investigating officer, considering suspension, and conducting interviews. The investigation should establish facts, not assume guilt, and conclude with a report summarizing options. For disciplinary hearings, the document outlines preparing by reviewing evidence, establishing an agenda, and ensuring procedural fairness. The goal is providing necessary information to make informed decisions while treating employees fairly.

Investigating Misconduct: Reaching a Decision and Determining Root Causes

This document discusses best practices for conducting workplace investigations and determining root causes. It outlines the key elements of a thorough investigation, including debriefing involved parties, gathering and analyzing evidence, and assessing credibility. When making a determination, the investigator should have proof for each policy element and close any gaps. There are three potential conclusions: substantiated, unsubstantiated, or inconclusive. Root cause analysis seeks to understand why the misconduct occurred by examining multiple contributing factors beyond any one individual, such as organizational systems involving people, methods, policies, management, and communication. Identifying all potential causes can help prevent recurrence.

Company Policy: Elements of Administrative Investigation and Progressive Disc...

Company Policy: Elements of Administrative Investigation and Progressive Disc...

Sexual Harassment Investigations

Parsons Behle & Latimer

This document provides guidance on conducting internal investigations of sexual harassment allegations. It discusses determining when an investigation is necessary, identifying investigation goals, timing considerations, deciding between in-house vs. outside counsel, conducting interviews, establishing attorney-client privilege, and other procedural aspects. The overall aim is to ensure investigations are thorough, objective and preserve confidentiality.

fy14_sh-27638-sh4_Incident-Investigation.pptx

Rezi Purnama

1) An incident investigation training document outlines the steps to properly investigate workplace incidents including accidents and near misses. These steps include defining terms, preparing the investigation team, visiting the incident scene, interviewing witnesses, analyzing evidence, and writing a report. 2) It is important to investigate all incidents to identify causes and prevent future occurrences. The goal is prevention, not blame. Preserving evidence and interviewing witnesses soon after the incident occurs is critical. 3) A thorough incident report includes describing what happened, findings on direct and indirect causes, corrective actions, improvements, and a conclusion with costs and responsibilities. This allows changes to be made to eliminate hazards and prevent similar future incidents.

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