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Advanced Internal Investigations Certificate Program - Table Of Contents

Advanced Internal Investigations Certificate Program


Module 1: Common Mistakes In Internal Investigations
  • Review court cases that were painful lessons for employers
  • Identify key strategies for how to avoid making the same mistakes
Module 2: Regulatory Areas That Affect Internal Investigations
  • EEOC's Strategic Enforcement Plan and targeted enforcement efforts

    • The EEOC’s latest investigative strategy
    • Latest issues regarding background investigations
    • Identify how to avoid discrimination claims when conducting background investigations
  • Recognize the employer balancing act at times of talent acquisition

    • Identify the risks of negligent hiring
  • National Labor Relations Act

    • Latest issues involving the NLRB
    • Social Media, Section 7, and "Concerted Activities"
    • Investigations and confidentiality
    • Recording in the workplace
    • Weingarten rights: investigative interviews and disciplinary meetings
Module 3: Launching An Investigation: Crucial Steps To Working A Good Case
  • Review of “Investigation Don’ts”
  • Assessing the case type: EEO, Theft, Misuse of Assets, Safety, Ethics, Conflict of Interest, and Regulatory Compliance
  • Establishing roles and responsibilities to minimize political interference
  • Identifying Resources

    • Internal vs. External?
    • Determining when to get legal counsel involved
    • Identifying when an investigator must recuse him/herself from a case
  • Building consistency in the investigative process

    • Implementing standard protocols and preparation steps
    • Preparing for interviews: developing interview question templates
    • Documenting complaint intake
    • Documenting conversations and witness statements
    • Maintaining an evidence log and chain of custody
    • Documenting investigator case notes
    • Reviewing best practices for case management and evidence storage
    • Preparing formal investigation reports with evidence exhibits
Module 4: Foundation For Conducting Investigations: Overview Of Federal Labor And Employment Laws
  • Review of Title VII of the Civil Rights Act and anti-discrimination laws
  • Employer obligations regarding when and how to conduct investigations
  • Harassment: Quid Pro Quo and Hostile Work Environment
  • Review of other laws that can come into play when conducting internal investigations
  • Identifying when remedial action steps are necessary
  • Review of current retaliation cases - and staggering employer costs for punitive damages
  • Minimizing retaliation claims before, during, and after an investigation
Interactive Exercise:
  • We Just Received an EEOC Charge for Racial Discrimination…Now What?
Module 5: Strategies For Evidence Collection And Preservation
  • Working with IT in Collecting Digital Evidence

    • Internet log / Virtual Private Network (VPN)
    • Surveillance systems
    • Phone records
    • Employee access card records
    • Electronic messages
    • Social media
  • Identifying and Collecting Open Records Evidence

    • County courthouse records
    • Online information services
  • Best Practices in Identifying, Collecting, and Preserving Physical Evidence in the Workplace

    • Preventing evidence tampering
    • Preserving and safeguarding evidence that has been collected
    • Handling and disposal of dangerous or illegal drugs and weapons

Module 6: Identifying And Investigating FMLA Leave Abuse
  • The Family & Medical Leave Act

    • Continuous & Intermittent leave – identifying the “red flags” of abuse
  • Evaluating the trends in FMLA Abuse

    • The headaches of Intermittent Leave abuse: "Monday-Friday Migraines"
    • Episodic conditions and fact patterns
    • Identifying suspicious “needing to care for” leaves
  • Strategies for Preventing FMLA Abuse

    • Conducting case audits
    • Implementing process improvement for managing intermittent and continuous leave
    • Implementing case management solutions
    • Integrity and fraud prevention orientations
Interactive Exercise:
  • Best Practices for Catching an FMLA Abuser
Module 7: Investigating Work-Related Injuries And Workers’ Compensation Fraud
  • Occupational Safety & Health Act

    • Workplace violence as a "recognized hazard" under General Duty Clause
    • Restraining orders to minimize the risk of workplace violence
    • Legalization of marijuana and the "Patchwork Quilt" of state laws
    • Emerging issues in employee substance abuse and drug testing
    • Conducting Substance abuse investigations
  • Workers Compensation Fraud – “Fraudsters in Action”
  • Strategies for Preventing and Investigating Workers Compensation Fraud
Interactive Exercise:
  • Investigating Possible Substance Abuse in the Workplace
Module 8: When - And How - To Work With Law Enforcement
  • Examine how law enforcement agencies operate within the legal system
  • Identify when it is appropriate or necessary to approach law enforcement
  • Review what to expect when working with law enforcement

    • Parallel investigation and collaboration on a case
  • Determine how to provide evidence and cooperate within legal boundaries

    • Subpoena
    • Court orders
    • Attorney engagements
  • Determine how to leverage law enforcement agencies to help safeguard your employees: active shooter, workplace violence, substance abuse, physical security
Interactive Exercise:
  • The Police Are Here…Now What?
Module 9: Advanced Techniques For Developing, Acquiring, And Documenting Testimonial Evidence
  • Preparation strategies for conducting witness interviews
  • Examine the Bulls Eye technique for investigative interviewing
  • Develop interview questions and strategy
  • Establishing timelines to identify fact patterns
  • Establish security protocols for investigative interviews
Module 10: Best Practices For Writing An Investigative Report And Closing Out A Case
  • Using standardized formats that are "court ready"
  • Timesaving Best Practices: headers, footers, drop-downs, appropriate stamps
  • Preparing investigation reports for outside parties to understand
  • Eliminating opinion and bias from the report
  • Incorporating of electronic evidence into reports without creating challenges
  • Preserving documents post-investigation for unemployment hearings, arbitration hearings, insurance claims, and litigation
Mock Investigation: Working a "Day in the Life of an Investigator"- Investigating a Possible Code of Business Conduct and Ethics Violation and Retaliation

Action Steps Beyond the Program

Program Wrap-Up

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