Conducting a Job Interview - PowerPoint

							CONDUCTING INVESTIGATIONS
    IN THE WORKPLACE

            Presented by:

                     Carol C. Lumpkin, Esq.
                      Judd J. Goldberg, Esq.
                        April 28, 2005
                        GMSHRM – Legal Update
                        Miami, Florida
STEPS OF AN INVESTIGATION


      The Complaint
      The Planning Process
      Collecting Possible Evidence
      Interviews
      Closing Loose Ends
      Document, Document, Document
      Corrective Measures
        THE COMPLAINT
Obtain as much detailed
information as possible from the
person bringing you the complaint
Listen without making any
judgments
Place yourself in the complainant’s
situation
Anonymous Complaints
   THE COMPLAINT
Advise the complainant
of the next steps you
plan to take
Address confidentiality,
non-retaliation, and
current job issues
Don’t make promises
you can’t keep
Time line to complete
investigation
      STEPS IN PLANNING

Identify the              Select the Tools
   issues
               THEN …   of the Investigation



The Specific                 Interviews
Allegations
                            Documents
 Laws and
  Policies              Electronic Information
ISSUES
 Violation of Internal
 Policies

 Violation of State and
 Federal Laws

 Public Relations – The
 appearance of impropriety
TOOLS OF THE INVESTIGATION

   Company Policies

                      Document Review

 Electronic Data – Voicemail,
   E-mail, Intranet, Internet

                       Interviews
             DOCUMENTS
Personnel Files
  Files kept by Managers
  Medical files? (only if
  relevant to the
  investigation)
  Expense files
  Documents held by the
  claimant and/or witnesses
ELECTRONIC DATA &
 COMMUNICATIONS
         Computer disks
         External hard drives
         E-mails – Retention
         Policies
         Voicemails
         Cameras, Phones and
         PDA’s
         Internet searches
THE INTERVIEW PROCESS
GENERAL TOPIC – BROAD QUESTIONS

  WORK ENVIRONMENT CULTURE


       SPECIFIC QUESTIONS


          DOCUMENTS
TIMING IS EVERYTHING

Timeliness v. Thoroughness

      Control the Interview

Keep Managers in the loop
 – respect business realities
THE INTERVIEW … Continued

 Language Issues –
Do you need a translator?

   No one is held or interviewed against
 their will

      Identify relevant company policies
 THE INTERVIEW … Continued
No fishbowl conference rooms
Off premises ?
 Workplace violence possibility
– plan for it
 Information regarding company
resources at your disposal
             Fair Credit Reporting Act
             Confidentiality – only those who need to
           know
             Retaliation – advise of policy
    “Mind If I Tape?”

Florida is a double
consent state

       Advisability of
           recording
         “I Don’t Remember”
  “Let me tell you what we have learned so far”
  “Is there anything else that you would like to add?”
  “Who else do you believe we should speak to?”
   “Here is my number. Call me if you think of anything
else after our meeting”
  “Do you have any questions
for us?”
“I Take It Back – Never Mind!”


Can we stop the investigation?


      Once company is on
      notice, it must complete the investigation


              Others could be affected by conduct
              at issue
“I want my lawyer!”
ATTORNEYS
     No “right to counsel”
    in a non-union setting
     Dealing with
    represented persons
     When should you call
    your lawyer
INTERVIEWING THE ACCUSED

  Information gathering

   “Fair opportunity to
  respond” – required in
  some states

  The identity of the
  complainant – do you
  reveal it?
     THE TABLES ARE TURNED
   The Interviewer Becomes the
             Accused
1. Maintain your composure
   2. Focus on your questions
     3. Give the accuser options
      that take you off the hot
      seat
          4. Document
              5. Don’t be defensive: nobody is
               perfect
LOOSE ENDS
    New facts
    Reluctant witnesses
    Unanswered
    questions
    Scheduling issues
DECISIONS & DOCUMENTATION

 Make determinations as to
 each allegation




            Document your reasoning
TRUTH-TELLER or NOT ?
  Consistency – Does the story keep
  changing?
  Corroboration – What did others say?
  Recollection of details
  Memory – Bad or Good
  Possible Bias
DOCUMENTATION
Address all issues raised by complaint
Support your conclusions
Avoid editorials and marginalia
Avoid legal conclusions
Write so that it can be understood by
others years later
Assume your notes will become public
CORRECTIVE ACTIONS
Recommend effective, practical
discipline
 Consistency – treat similarly-
situated alike
CORRECTIVE ACTIONS
 The complainant doesn’t get to decide, but
 should be advised of conclusions reached by the
 investigation
 A slap on the wrist may
 cause larger future problems
 Document and keep
 investigation materials in a
 separate folder
 Public Relations
THANK YOU
    Presented by:

             Carol C. Lumpkin, Esq.
              Judd J. Goldberg, Esq.
               April 28, 2005
               GMSHRM – Legal Update
               Miami, Florida