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Employee Internal Investigations: The Ultimate Legal Guide

presented by NBI, Inc.
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Employee Internal Investigations: The Ultimate Legal Guide

Workshop Description/Agenda

A Practical Guide to the Latest Employee Internal Investigation Legal Issues

Internal investigations of employee misconduct are fraught with legal pitfalls. It is essential to recognize these traps in order to preserve attorney-client privilege, avoid future lawsuits and more. In this essential legal overview of conducting employee internal investigations, our experienced attorney faculty will walk you through the investigation process and illuminate the top pitfalls that employers fall into. Ensure internal investigations protect the legal rights of all parties while mitigating the potential for future lawsuits - register today!

  • Identify legal trends, hot-button issues and the latest legal challenges being faced right now with internal investigations, including #MeToo issues and discrimination.
  • Ensure attorney-client privilege and the work-product doctrine are preserved while conducting internal investigations.
  • Analyze investigation procedures to reduce the chances for real or perceived interviewer bias.
  • Spot investigation procedure cracks that have the potential to cause serious legal difficulties down the road.
  • Create legally defensible paper trails that fully document the rationale behind termination decisions.
  • Evaluate internal investigation results and determine whether potential exists for retaliation, wrongful discharge or other claims.
  • Strategically use the results of internal investigation in discovery, depositions and other litigation procedures.


11:00 am to 6:00 pm Eastern Standard Time
Presenters: Julie A. Pace and David A. Selden

  1. Internal Investigation Emerging Trends, Updates and Current Legal Challenges
    11:00 - 11:30
    1. Recent Trends and Hot-Button Issues
    2. Reviewing New Terminology
    3. Current Legal Challenges Attorneys and Employers are Facing With Investigations
    4. Hot-Topics in Employment Law: Tips For How to Stay Compliant and Handle Investigations
      1. #MeToo/Harassment
      2. Discrimination
      3. Disability/Medical Complaints/FMLA Issues
  2. How to Handle Internal Formal Complaints: What Attorneys Need to Know
    11:30 - 12:00
    1. Identifying Red Flags
    2. Filing of the Complaint
    3. Following the Internal Formal Complaint Process and Procedures (w/Sample Checklist)
    4. How to Respond if There is a Finding of Discrimination
    5. Documentation Best Practices to Keep Employers Out of Hot Water
  3. Initiating the Investigation: How Attorney-Client Privilege and the Work-Product Doctrine are Preserved
    12:15 - 12:45
    1. The Role of the Attorney in the Investigation
    2. Legal Advice vs. Business Advice
    3. Scope of Attorney's Duties for Company
    4. Investigating Complaints vs. Litigating Complaints
    5. Third Party Consultants: Functional Equivalents of Employees?
    6. Documenting and Interviewing
  4. Conducting the Investigation
    12:45 - 1:45
    1. Statements to the Accuser
    2. Statements to the Accused
    3. Statements to Witnesses
    4. Reducing Claims of Bias or Unfairness: Essential Strategies
    5. Common Investigation Errors Non-Attorneys Make
    6. Organizing Interview Materials
    7. Creating the Investigation Final Report
  5. How Plaintiff Attorneys Spot Investigation Cracks - And Make Them Bigger
    2:15 - 2:45
    1. Brushing Complaints Under the Rug
    2. Delayed Investigations
    3. Failure to Follow Company Complaint Policies
    4. Lack of Confidentiality in the Investigation Process
    5. Other Exploitable Cracks
  6. How to Avoid and Handle EEOC and DOL Investigations: Plaintiff and Defense Perspectives
    2:45 - 3:45
    1. Putting Effective Policies in Place to Avoid EEOC Investigations
    2. Properly Following Administrative Proceedings
    3. How to Document and Investigate EEOC Complaints From Day One
    4. Forming Effective EEOC Interview Questions
    5. Raising EEOC Claims: Enhanced Internal Processes
    6. Handling EEOC/HRC Complaints and Drafting Position Statements
    7. How to Respond to an Agency's Request for Information
  7. Analyzing Investigation Results: Do the Accuser or Accused Have Grounds to File Suit?
    3:45 - 4:15
    1. Retaliation
    2. Wrongful Discharge
    3. Constructive Discharge
    4. Discrimination Claims
    5. Potential for Employment-Related Class Action Suits
  8. Using Investigation Materials in Litigation: Plaintiff and Defense Strategies
    4:30 - 5:00
    1. Litigation Holds: What Should be Preserved?
    2. Discovery Essentials: Reports, Notes, Recordings, Etc.
    3. Accessing Documents that Constitute Anecdotal Statements
    4. Information that Can and Cannot Be Redacted
    5. Deposing the Accused, Accusers and Witnesses
    6. Strategies for Deposing Attorney and Non-Attorney Investigators
  9. Ethical Issues in Employment Law
    5:00 - 6:00
    1. Key Rules of Professional Conduct
    2. Confidentiality
    3. Conflicts of Interest
    4. Attorneys' Fees

Who Should Attend

This essential overview of conducting employee internal investigations is for attorneys. Human resource professionals, accountants, managers and paralegals may also benefit.

Additional Information

Training Provider: NBI, Inc.

Course Topics: HR Management Training > Labor/Employment Law

Training Course Summary: Employee Internal Investigations: The Ultimate Legal Guide

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