Objectives

Upon completion of this course, participants will be able to:

• **Establish** a legally sound, ethical, and consistent internal investigation protocol.
• **Design** a comprehensive investigation plan, including scope, timeline, and confidentiality rules.
• **Master** advanced techniques for interviewing the complainant, subject, and witnesses, including credibility assessment.
• **Collect** and manage various forms of evidence, including digital and physical documentation, while maintaining the chain of custody.
• **Write** a final, fact-based investigation report that makes a defensible conclusion based on the standard of proof.
• **Manage** the communication process around the investigation, including interim measures and preventing retaliation.
• **Navigate** complex allegations involving senior leadership, protected classes, or multiple jurisdictions.
• **Understand** the legal implications of investigation findings and the post-investigation corrective action process.

Target Audience

• HR Professionals (Generalists, Business Partners, and Specialists) who conduct internal investigations.
• Internal Audit, Ethics, and Compliance Officers.
• Managers and Leaders who may be tasked with handling initial complaints or assisting investigations.
• Attorneys and Paralegals who review or defend investigation reports.
• Security and Loss Prevention personnel involved in workplace theft or fraud.

Simulated investigation case study (from intake to report), Advanced interview role-playing with difficult subjects/witnesses, Group exercise on assessing conflicting testimony and credibility, Workshop on structuring and writing the final report, Discussion on digital evidence and chain of custody, Review of legal standards for misconduct.

Outline

Unit 1: Foundations of Workplace Investigations

Legal and Ethical Framework

• The legal duty to investigate and the concept of 'due process.'
• Key legal standards (e.g., Title VII, company policy) that define the violation.
• Establishing a legally defensible investigation policy and checklist.
• Ethical considerations: objectivity, confidentiality, and avoiding conflicts of interest.

Planning the Investigation

• Effective intake procedures and preliminary assessment of the complaint.
• Defining the scope, objectives, and legal standard of proof for the investigation.
• Identifying the investigating team and necessary interim protective measures.
• Creating a comprehensive investigation plan and timeline.

Unit 2: Evidence Collection and Management

Collecting Documentary Evidence

• Types of evidence: physical, electronic, testimonial, and circumstantial.
• Techniques for preserving digital evidence and managing IT security risks.
• Establishing a clear and auditable chain of custody for all collected evidence.
• Analyzing policies, past practice, and employment records for relevance.

Assessing Credibility and Bias

• Systematic methodology for assessing the credibility of witnesses (e.g., consistency, plausibility).
• Understanding cognitive bias and the investigator's own blind spots.
• Techniques for identifying motivation to lie, exaggerate, or conceal.
• The importance of corroborating evidence over mere testimony.

Unit 3: Advanced Interviewing Techniques

Complainant and Witness Interviews

• Structuring the interview process: planning, opening, body, and closing.
• Advanced questioning techniques for eliciting detailed, factual information.
• Strategies for handling emotional, reluctant, or hostile witnesses.
• Creating accurate, detailed, and non-judgmental interview notes/transcripts.

Subject Interviews

• Legal considerations before, during, and after interviewing the subject of the complaint.
• Strategies for confronting the subject with evidence and conflicting testimony.
• Techniques for managing denials, evasiveness, or counter-allegations.
• The importance of documenting the subject's response and perspective fully.

Unit 4: Analysis, Findings, and Report Writing

Fact-Finding and Analysis

• Methodology for synthesizing and organizing complex, conflicting evidence.
• Applying the relevant legal or policy standard to the established facts.
• Making a clear, defensible 'finding of fact' and conclusion.
• Avoiding common analytical errors and logical fallacies.

Report Writing and Conclusion

• Structuring a professional, legally sound investigation report (Executive Summary, Findings, Conclusion).
• Writing style: factual, objective, and avoiding legal or moral conclusions (outside of the finding).
• Strategies for effectively communicating findings to the decision-maker.
• The role of the report in supporting the final disciplinary or corrective action.

Unit 5: Post-Investigation and Advanced Scenarios

Post-Investigation Actions

• Managing the final communication of the outcome to the complainant and subject.
• Implementing effective corrective and preventive actions based on findings.
• Monitoring for and proactively addressing any signs of retaliation.
• Ensuring proper documentation retention for potential litigation.

Complex Investigation Scenarios

• Investigating allegations against senior leaders and high-level executives.
• Managing investigations involving protected classes (e.g., disability, gender, race).
• Coordinating with law enforcement and external legal counsel.
• Personal action plan for building investigation capability and resources.