Conducting Workplace Investigations Effectively and Legally

Even the best-managed workplaces will at some point face situations requiring investigation.  Improperly conducted workplace investigations can be costly, both in terms of resulting litigation and a decline in profitability due to any disruption in operations, decreases in employee morale, and negative publicity.  Conversely, well-conducted investigations nip workplace problems in the bud, thus keeping businesses operating smoothly—and out of court.

This course explains clearly the regulations governing the workplace, identifies situations requiring investigation, provides instruction on how to conduct investigations effectively and legally from start to finish, and explains methods of resolving workplace disputes internally.

TARGET AUDIENCE
Managers, Supervisors, Risk Managers, and Human Resources Professionals

PROGRAM LEVEL
Basic

PROGRAM PREREQUISITES
None

ADVANCED PREPARATION
Not Required

DELIVERY METHOD
Self-Study

TIME TO COMPLETE
105-120 minutes

PURPOSE
The purpose of this course is to help the learner identify situations that require an internal investigation and to provide guidance for an effective and legally compliant response to workplace complaints, behaviors, or incidents.

LEARNING OBJECTIVES
After completing this course, the learner will be able:

• recognize workplace situations that require an internal investigation and associate these with the applicable laws;
• summarize and implement elements of an effective internal investigation, and determine its scope;
• confirm details of an incident, discern legally compliant interim actions, and choose an investigator;
• conduct effective interviews of all parties involved;
• evaluate the credibility of an interviewee and summarize the investigation upon its conclusion; and
• differentiate between the three basic forms of alternative dispute resolution--mediation, arbitration, and peer review--and ascertain when and how each can be used to implement a workplace conflict resolution system.

TOPICS COVERED
1. An Overview of the Laws and Regulations Governing the Workplace

2. The Keys to Conducting Effective Workplace Investigations

3. The Steps to Take Before an Investigation

• Knowing When to Investigate
• Choosing the Right Investigator
• Planning the Investigation

4. How to Conduct the Investigation

• Taking Interim Action
• Interviewing Witnesses

5. How to Conclude the Investigation

• Writing Reports
• Making Recommendations

6. Resolving Complaints Using Alternative Dispute Resolution Methods

• Mediation
• Arbitration
• Peer review

FORMS INCLUDED

• ADR Comparison Chart
• Employee Complaint Response Memo
• Initial Incident Report
• Internal Investigation vs. Informal Resolution Flowchart

ACCREDITATION
HR CERTIFICATION INSTITUTE
This program has been approved for 2.0 recertification credit hours toward PHR, SPHR, and GPHR recertification through the HR Certification Institute.  For more information about certification or recertification, visit the HR Certification Institute homepage at www.hrci.org.

(The use of this seal is not an endorsement by the HR Certification Institute of the quality of this program. It means that this program has met the HR Certification Institute's criteria to be pre-approved for recertification credit.)

THE FLORIDA BAR
The Florida Bar's Board of Legal Specialization and Education has approved this course for 2.0 General Continuing Legal Education (CLE) credits. For more information about CLE credits, visit The Florida Bar homepage at www.floridabar.org.

THE STATE BAR OF GEORGIA
The State Bar of Georgia has accredited this course for 2.0 hours of Regular CLE credits.  For more information about CLE credits, visit The State Bar of Georgia homepage at www.gabar.org.

NASBA
This program provides 2.0 credit hours toward Continuing Professional Education (CPE) recertification. 

OFFICIAL QAS STATEMENT
The Human Equation is registered with the State Boards of Accountancy as a Quality Assurance Service (QAS) sponsor of continuing professional education. Participating state boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding QAS program sponsors may be addressed to NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Web site: www.nasba.org.