7 Phases to Conducting a Workplace Investigation Wednesday, January 15, 2014
2 What to expect. What you ll get. What we want. All phone lines are muted, type in questions at any time during the webinar using the questions or chat feature. We will address all questions during the webinar or during the Q&A portion at the end of the webinar. You ll receive a presentation following the webinar (within a few days) along with some additional resources. We welcome your feedback, please take a moment to respond to the post-webinar survey, and there are a number of other webinars coming up, be sure to join us!
3 Presenter: Autumn Lowry Manager of Professional Services & Behavioral Sciences Specialist for Convercent Areas of expertise: Corporate investigations on topics related to: unethical conduct, retaliation, theft, harassment, discrimination Threat assessments for workplace violence incidents Bachelor of Science: Psychology & Criminal Justice Illinois State University Master of Arts: Forensic Psychology University of Denver Corporate trainings on various topics including: workplace violence, sexual harassment, and the Process of Workplace Investigations Email: Autumn.Lowry@convercent.com
4 Convercent Convercent helps mi0gate people risk and safeguard your reputa0on. Provides: Ethics and Compliance so<ware inclusive of hotline, case, policy and learning management Inves0ga0ons consul0ng
5 Let s get started!
6 Agenda/Objectives Discuss why it is important to have an investigative process coupled with competent technology Examine in detail the seven phases of investigation Learn how to implement your own process
7 Convercent s Approach Technology a critical component of investigations Investigations unfold incrementally Dynamic, fluid process Demonstrates integrity and credibility The Process of Investigation Proprietary method developed by Convercent s Chief Ethics Officer, Eugene Ferraro
8 Investigative Process Need to have a documented process/guideline Structured, yet generalized Document (electronically): How complaints are received How they are assigned Timelines General steps/phases Follow up Not enough to have a process, must follow it consistently
9 The Seven Phases 1. Assessment 2. Preparation and planning 3. Information gathering 4. Verification and analysis 5. Decision making 6. Disbursement of disciplinary or corrective action 7. Prevention and education
10 1. The Assessment Phase Things generally accomplished in this Phase: Is the matter worthy of an investigation? At what level? Identity of those involved What policies, practices and precedents exist which may impact the intended investigation and the manner in which it is to be conducted Who else in the organization should be notified prior to the initiation of the fact-finding or before interviews take place If there are any parties external to the organization that should be notified 1
11 2. The Planning and Preparation Phase These activities include, but are not limited to, the following: Obtaining management s commitment Negotiating objectives Deciding the standard of proof which will be pursued Pooling of the necessary resources and expertise; identify Decision Makers Establishing a project plan and delivery timeline 1 2
12 2. The Planning and Preparation Phase Meaningful objectives: Identification of the true nature and scope of the problem Who was involved and why Collect the information necessary to allow the proper distribution of discipline or corrective action when appropriate Execute the investigative effort such that it is least disruptive to the organization and its operations Achieve the best possible return on investment 1 2
13 2. The Planning and Preparation Phase Standards of Proof Beyond a reasonable doubt Preponderance of the evidence Good faith Investigation An employer must only demonstrate that it conducted a good faith investigation and made a reasonable conclusion in order to sustain employee discipline. 1 2
14 3. The Information Gathering Phase Information Gathering and Fact-finding Phase necessitates the fact-finder to combine the methods of investigation and deploy them in a precise sequence and measure. 6 Methods of Investigation 1. Physical Surveillance 2. Electronic Surveillance 3. Research and Audit 4. Forensic Analysis 5. Undercover 6. Interviews (administrative) 1 2 3
15 3. The Information Gathering Phase Confidentiality Notification requirements Advice and consent of counsel Credibility determinations The purpose of this phase is to gather the information necessary to move the process to the next phase the Verification and Analysis Phase. 1 2 3
16 3. The Information Gathering Phase An investigator should not move to the next Phase unless one can answer in the affirmative to the following questions: 1. Is the investigation sufficient? 2. Has the fact-finder achieved the standard of proof selected? 1 2 3
17 4. Verification and Analysis Investigatory Interviews Interviewing those most involved Designed to yield admissions There may be extenuating or mitigating circumstances Reveal information regarding others involvement Unlike criminal law, an employer only needs an admission 1 2 3 4
18 Interviews Information Gathering (Administrative) or Verification (Investigatory) CONSIDER SAFETY Location and timing Witnesses The request for Representation Written statements or notes 1 2 3 4
19 5. The Decision Making Phase Responsibility of the organization s decision-makers (pre-established in Phase 2) Who should participate? How should the findings be reported? More difficult without an admission How do we weigh credibility? Consistent with: Company policy Past practices 1 2 3 4 5
20 6. The Discipline and Corrective Action Phase Not always necessary Responsibility of the organization s decision-makers to identify Normally, it is human resources and management which dispense discipline DOCUMENT! (preferably digitally) 1 2 3 4 5 6
21 7. The Education and Prevention Phase The least utilized Phase of all seven. Critique the effort Identify best practices Assess the damage and determine how it can be prevented in the future Experience has shown that if the lessons learned are not leveraged, problems and workplace issues tend to reappear and repeat themselves. 1 2 3 4 5 6 7
22 7. The Education and Prevention Phase Litigation Avoidance Document EVERYTHING! Properly organize information using a case management system Be cognizant of existing precedents and past practices Obey the law Team consult Follow your process consistently 1 2 3 4 5 6 7
23 Resources Whitepaper: How to investigate Workplace Incidents http://www.convercent.com/resources/how-to-investigateworkplace-incidents/ Convercent Case Manager http://www.convercent.com/solution/case-manager/ Full hotline, incident management Reporting and Auditing Investigation management Demo available
24 Next Steps and Special Offer Upcoming webinar on how technology can be used to increase the effectiveness and efficiency of your investigation process. Look for a follow up email with registration information. SPECIAL OFFER: 3 months free with any contract. Call us at 800.650.7005 for details.
25 Thank you. Questions?
7 Phases to Conducting a Workplace Investigation Wednesday, January 15, 2014