Program sponsored by the CBA Labor & Employment Law Practice Group

This presentation offers practical guidance on conducting fair and effective workplace investigations. It covers essential strategies for planning, maintaining impartiality, and ensuring consistency throughout the process. Participants will also gain insight into key considerations to help prevent errors that could compromise the investigation or create potential liability.

1. Identifying the Scope of the Investigation
   1. Importance of defining the scope  
      1. Prevents unfocused or irrelevant inquiries
      2. Ensures all pertinent issues are addressed
   2. Elements to identify  
      1. Specific allegations
      2. Relevant time periods
      3. Parties involved
      4. Evidence to be collected
      5. Applicable policies or guidelines
2. Creating an Investigation Plan
   1. Timeliness  
      1. Importance of prompt action
      2. Typical timelines (one week, two weeks, up to a month)
      3. Factors affecting length (nature of claims, documents, interviewees)
   2. Interview Preparation  
      1. Developing an interview outline
      2. Ground rules
      3. Background information
      4. Allegations
      5. Additional leads
   3. Choosing an appropriate interview location
      1. Privacy and comfort
      2. On-the-clock vs. off-the-clock considerations
3. Deciding Whether Immediate Action Is Necessary
   1. Protective measures for complainant  
      1. Paid temporary leave
      2. Schedule adjustments
      3. Physical separation from accused
   2. Avoiding retaliation or undue burden  
      1. No unpaid suspension or unwanted transfers
   3. Considerations regarding the accused  
      1. Removal or reassignment
      2. Compensation during suspension
4. Communicating the “No Retaliation” Rule
   1. Importance of non-retaliation  
      1. Protects participants
      2. Encourages cooperation
   2. Communicating the rule  
      1. At the outset of each interview
      2. Disciplinary consequences for retaliation
5. Choosing the Right Investigator
   1. Impact on credibility and defensibility
   2. Importance of awareness and sensitivity
   3. Avoiding conflicts of interest
   4. Consider consulting external counsel for complex cases
6. Maintaining Impartiality
   1. Neutral tone throughout the process
   2. Avoiding bias or appearance of partiality
   3. Impact of process flaws on legal liability
7. Reaching a Determination and Communicating to All Parties
   1. Final written report  
      1. Factual findings
      2. Policy violations (not legal conclusions)
      3. List of parties and relevant policies
      4. Assessment of witness credibility
   2. Employment decision recommendations  
      1. Basis for recommendations
      2. Consultation with legal counsel
   3. Communication of outcomes  
      1. Notifications to involved parties
      2. Maintaining confidentiality
      3. Offering support resources
8. Closing the Investigation
   1. Developing a resolution plan  
      1. Disciplinary actions
      2. Training or policy revisions
      3. Mediation or conflict resolution
   2. Follow-up  
      1. Monitoring corrective actions
      2. Periodic check-ins
      3. Assessing long-term impact 

Presenters: 

Brian Dressel, Partner, Vorys

Brian is a partner in the Vorys Columbus office and a member of the labor and employment group.  His practice focuses on a wide range of employment law matters.  Brian has significant experience litigating a variety of employment cases, including discrimination, retaliation, trade secrets, wage-and-hour and FMLA matters.  He is also a member of the firm’s appellate subgroup and has litigated several appeals in state and federal court. Full bio.

Shelby Daniels, Associate, Vorys

Shelby is an associate in the Vorys Columbus office and a member of the firm’s labor and employment group. Before joining Vorys, she served as a judicial extern for the Honorable Judge Algenon Marbley in the U.S. District Court for the Southern District of Ohio. Shelby earned her J.D. and a certificate in alternative dispute resolution from The Ohio State University Moritz College of Law, where she was chief note editor for the Ohio State Business Law Journal and secretary for the Black Law Students Association. She holds a B.A. in political science and pre-law from Michigan State University. 

1.0 CLE Hours 

This CLE will be offered as a live interactive webinar held via Zoom. Login to the website and click the "Register" button to register. You will receive a confirmation email from Zoom containing information about joining the CLE.

You must use your unique link on a desktop/laptop in order to receive CLE credit.