Workplace Investigations—Legally and Effectively

25th October, 2017
London, United Kingdom

OverviewOutlineCourse LeaderRegisterFee & VenueContact

About the Event

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

Our Course Learder is a member of the Employment team in Collyer Bristow LLP. He has over 18 years of extensive experience in contentious employment, advising organisations and high net worth individuals. He specialises in cases concerning discrimination, whistleblowing and employment matters arising out of FCA regulated organisations. He has substantial experience in the hotel, educational, and healthcare sectors. He has recently worked on several high profile cases. In 2010 Nathan represented 4 New Square Chambers in its successful defence of the £33m claim brought by Dr Bijlani. This year he represented an investment banker who was the ‘whistleblower’ regarding a rogue trader, involving multi million pound trade losses within a European investment bank.    

Our Course Leader volunteers as a governor for Ravensbourne, a university sector college innovating in digital media at the award winning site at the O2 Arena. He is a member of the Employment Lawyers Association.

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 Pounds.
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 8% Admin/Bank Charges.


Novotel London City South Hotel
Address: 53-61 Southwark Bridge Rd, London SE1 9HH, UK
Phone: +44 20 7660 0676

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