Workplace Investigations—Legally and Effectively

25th October, 2017
Dubai, United Arab Emirates

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About the Course

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.

Learning Objectives

  • How to recognize workplace situations that require an investigation
  • How to develop an investigation plan
  • How to collect and record evidence
  • The Rights of the parties involved in an investigation
  • How to identify and interview the plaintiff, witnesses and the respondent
  • How to assemble statements and write a thorough and defensible report
  • When and what information can, and should, be released to the involved parties
  • How to make recommendations about next steps after the investigation is complete


Course Timing : 9:00am to 5:00pm

Internal Investigations in a Diverse Legal Landscape: Your Rights and Obligations

  • Internal investigations and the current environment
  • Employment Law: Understanding your compliance requirements when conducting workplace investigations–Labor and Employment Issues
  • How to eliminate bias in your investigation
  • Avoiding common legal mistakes, such as:
    • Invasion of privacy
    • False imprisonment
    • Assault & Battery: Knowing your responsibilities in handling toxic and dangerous employee situations
    • Intentional infliction of emotional distress/outrage
    • Foolproof strategies for protecting yourself from individual liability
    • Review of hypothetical fact pattern
    • Defining an internal investigation: Your obligations as to court
    • Ensuring your investigation will stand up in court

Considerations at the Outset—Setting the Stage for a Successful Investigation

  • Dealing with allegations by the whistleblowers
  • When is an investigation warranted?
  • Clearing barriers to perform an investigation
  • Policies you should consider before starting:
    • Privacy in the workplace, E-mail/blogging policy, Equal employment opportunity policy, Sexual harassment
  • Scope of the investigation
  • Who should oversee the investigation? Who should conduct the investigation? Who should know about the investigation?
  • Choosing your investigator: Your attorney, a third party, an agency, or the law? Find out here!
  • Identifying the information you’ll need to conduct a legally sound investigation—Who should be interviewed? Get aware of what constitutes evidence and Preserving evidence/documents
  • Find out when you should use surveillance methods and how to avoid breaching employee privacy
  • Considerations of the plaintiff’s lawyer
  • Managing the costs

Conducting the Investigation—Processes and Procedures

  • Gathering documents
  • Contacting witnesses
  • Employee interviews—Preparing for and conducting interviews
  • Scheduling the interview with witnesses, the victim, and the accused:
    • Where you should and shouldn’t conduct interviews
    • What to ask
    • What not to say
  • Recording interviews: Dos and Don’ts
  • Employee issues and obligations: Advice, rights and liability in light of recent cases
  • Protecting confidentiality
  • Former employee interviews
  • When should employees or former employees have their own counsel?
  • Dealing with the auditors
  • Dealing with international issues: Attorney-client privilege in other countries, language issues

Ethical Issues and Privilege Traps

  • Protecting the investigation: Attorney-client privilege and work-product issues
  • Representational issues
  • Warnings to witnesses
  • Methods for recording witness statements
  • Attorney participation—What you should know ahead of time
  • Handling refusals to be interviewed
  • Post-interview wrap-up
  • Photographs, diagrams, maps, and sketches
  • Collection of documents, records, and other items
  • Reaching findings
  • Evaluating your options: Know exactly what you should and shouldn’t include in your report
  • Memorializing conclusions
  • When preparing a written report, stick to the facts: How to avoid making defamatory statements in your report
  • Tips for delivering your findings to management to achieve understanding and buy-in Alternatives to a written report
  • Contents of the report: Detailed facts vs. legal conclusions—Documentation before, during, and after the investigation
  • Coaching/counseling, Training/retraining, Verbal warning, Written warning, Suspension, Termination
  • Who sees the report: Handling third-party requests
  • Corrective actions/remediation: Determining what disciplinary action you
    should take
  • How to wrap up your investigation when your findings are inconclusive
  • Group exercise: Write a warning letter from a stated set of facts
  • Which documents you must keep and which documents you should keep. How long you should keep your documents

Damage Control: Plan in Action

  • Maintaining a dialogue with the regulators during the investigation—Find out what the courts and juries look for in reporting. Disclosing the investigation to regulators: Why, when and how
  • Legal tips on discussing the investigation with co-workers
  • Dealing with rumors, questions, and employee reactions to investigations
  • Challenges posed by international investigations
  • Cooperation with the government
  • Waiver issues
  • Public disclosure of results

Understanding Today’s ‘Must-Have’ Company Policies to Minimize Risk of Litigation

The Rules of Evidence in Workplace Investigation

  Course Leader

Having practiced as a Barrister at a leading set of Commercial Chambers in London before moving to Dubai, our Course Leader is an experienced litigator and advocate with over 18 years experience. Since June 2014, she has been the Head of Advocacy and Investigations at Taylor Wessing Dubai. She undertakes international commercial arbitrations before a large range of institutions (DIAC, ADCCAC, DIFC-LCIA), litigation in the DIFC Courts and has extensive experience of large scale corporate investigations.

She is a Fellow of the Chartered Institute of Arbitrators and a registered practitioner with full rights of audience in the DIFC and the UK Courts. She is a Member of the SIAC Users Council and has recently been appointed to the Panel of Neutrals of the Lagos Court of Arbitration. Also, she has published numerous articles on litigation and arbitration in the UAE and is often invited to speak at conferences in the Region, in the UK and in the GCC. From September 2017 she will be lecturing as a visiting lecturer at the University of Middlesex, Dubai on the LLB and LLM programs.


Workplace Investigations—Legally and Effectively
Regular: $599
Courses 1 Course

Register 3 Send 4th One Free

Register 3 Send 4th One Free Any organization wishing to send multiple attendees to this course may send 1 FREE for every 3 participants registered. Please note that all the 3 participants must register at the same time to avail this benefit.

Registration Fee

Usual Price: $599

Register 3 Send 4th One Free Any organization wishing to send multiple attendees to this course may send 1 FREE for every 3 participants registered. Please note that all the 3 participants must register at the same time to avail this benefit.

Note: All payments are made in USD.
Registration fee only covers cost of all sessions, luncheon, coffee/tea & presentations. Fee does NOT include any travel or accommodation expenses. Fee is not inclusive of 5% Admin/Bank Charges.


M Hotel Downtown by Millennium Dubai
Address: Al Asayal Street، Business Bay – United Arab Emirates
Phone: +971 4 450 2000

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