Detailed Outline

7 Steps to Investigate Alleged Employee Misconduct Seminar

Writing Comprehensive Investigative Reports Workshop

7 Steps to Investigate Alleged Employee Misconduct Seminar

To view a 5-minute seminar demo for free, click here.

Step 1: Decide if You Should Investigate

  1. When is an employer legally required to investigate an allegation of harassment?
  2. Should I investigate if the employee has filed a charge with an administrative agency or the police?
  3. How do I handle requests for confidentiality?
  4. Confidentiality of employee hotlines and counseling programs
  5. Decide if you need to take interim action during the investigation

Step 2: Choose the Appropriate Investigator(s)
  1. Ensure that the investigator possesses the necessary qualifications
  2. Internal vs. external investigator
  3. Fair Credit Reporting Act
  4. Must I honor the complainant's request that the investigator be of a certain gender, race, etc.?
  5. Choose the number of investigators

Step 3: Examine Documentary, Electronic, and Physical Evidence
  1. Document the allegation
  2. Gather and review documents
  3. Workplace searches
  4. Monitoring of employee telephone calls and conversations

Step 4: Conduct and Document Your Interviews

    Who, When, Where

  1. How should I order the interviews?
  2. Select the interview sites
  3. What should I do if an employee brings a lawyer, co-worker, or friend to the investigative interview? (Weingarten rights)
  4. What if an employee refuses to be interviewed or to otherwise cooperate in the investigation?
  5. What if a public employee refuses to answer questions on the grounds that he or she has a Fifth Amendment right to remain silent? (Garrity rights)
  6. Should I interview non-employees who may be witnesses?


    7. How to Interview

  7. Prepare an outline of topics
  8. Avoid certain types of questions
  9. Should I instruct witnesses not to tell me "hearsay" or their personal opinions?
  10. Use the "Funnel Method"
  11. Set the scene
  12. Listen!
  13. How to keep track of new topics and questions that you have not yet asked
  14. Judge if the witness is being truthful
  15. How do I respond if the accused demands to cross-examine the complainant?
  16. How do I respond if the witness asks whom else I am going to interview?
  17. Sample interview questions


    18. How to Document Interviews

  18. Should I tape my interviews or just take notes?
  19. What if the employee demands to tape-record the interview?
  20. How to take notes


    21. Confidentiality Issues

  21. Avoid a defamation lawsuit and warn witnesses of the risk of a defamation lawsuit
  22. Should I discipline employees if they discuss the investigation with other employees?

Step 5: Reach a Conclusion and Write the Report

    Reach a Conclusion

  1. How much detail about the complainant's and witnesses' statements should I give the accused?
  2. How do I deal with he said/she said situations?
  3. What is the appropriate standard of proof?
  4. If the investigation is truly inconclusive


    5. Write the Report

  5. Purpose of the report
  6. Report is discoverable
  7. Format of the report
  8. Who should see the report?

Step 6: Take Prompt Corrective Action
  1. Choose the appropriate level of discipline
  2. Are oral warnings ever sufficient?
  3. Options for corrective action
  4. Avoid a due process, breach of contract, or discrimination lawsuit from the accused
  5. Should I discipline someone who files a false complaint?

Step 7: Wrap Up and Handle Challenges from the Complainant & the Accused
  1. Do I tell the complainant what disciplinary action was taken against the accused?
  2. Follow-up
  3. Where should I keep documents relating to the investigation?
  4. What do I do if the complainant files a charge with the EEOC or a state Fair Employment Practices agency?
  5. Does the employer have a right to have an attorney present during the agency's interviews of employees?
  6. Can I be sued successfully if I mistakenly discipline an innocent person?


Writing Comprehensive Investigative Reports Workshop

This workshop begins with a role-play exercise inviting participants to practice interviewing skills and allowing Global Compliance to re-visit the elements of a proper investigation. A poorly-written "draft" report, participant notes from the role-play, and exhibits provided to them in a mock investigation file will form the basis for the report they will subsequently develop during the report writing session.

During the investigative report writing session, participants will use hypothetical scenarios, classroom discussion, and the report writing exercise to address the following topics:

Purpose of Writing a Report


Format and Content of the Report
A.    Getting started                                    
B.    Essential elements of the report        
1.  Overview/Summary               
2.  Facts               
3.  Analysis
4.  Conclusion(s)               
C.    Write for the readers you know (and those you don't)
1.  A few words about length
2.  Write with style


Other Report Writing Issues
A.    Should the report recommend corrective action?
B.    Compiling exhibits
C.    Who should see the report?
D.    Creating and storing the investigation file                     
1. Privilege and other confidentiality designations                            
2. Preparing for litigation                             
3. Document retention