Module 1

Module Introduction: Study Notes - Investigation Process Overview

  • Overview of the structure of an investigation.

  • Focus on determining:

    • Who will handle the investigation.

    • Relevant terminology related to investigating issues.

    • Organizing information for effective investigation.

  • Introduction to the relevant case study from the complainant, Morgan.

Key Learnings Journal

  • At the end of this module:

    • Professor Brecker encourages students to:

    • Pause and record insights, methods, and processes gained from the learning materials.

    • Note the significance of these records in your learning journey.

  • Significance of Journal:

    • An optional and ungraded tool.

    • Valuable for reference throughout the course and in future workplaces.

Important Instructions for Saving Work

  • Save documents locally to your desktop or device.

  • Open the document using Adobe Reader.

Morgan Case Study

Morgan's Intake Information

  • Professor Brecker role-plays as Morgan, an employee raising a concern.

  • Aspects of Morgan's job:

    • Hired as an administrative assistant in the account management department one year ago.

    • Promoted to assistant account representative two months ago.

  • Department Structure:

    • Manager: Alex

    • Account Reps: Jesse, Jean, Payton

    • Supervisor: Jesse oversees Morgan.

  • Morgan's Concerns:

    • Jesse's remarks made Morgan feel belittled:

    • Said Morgan was "useless" in all caps in an email.

    • Told Morgan to "grow up" after discussing presentation preparations.

    • Compared Morgan's behavior to that of a child, saying, "You're acting like my 12-year-old."

  • Context of Concerns:

    • Morgan’s extensive work hours (10 hours most days) led to feelings of being overburdened.

    • Previous feedback from colleagues had been positive.

    • Morgan was hesitant to complain to Jesse out of fear of repercussions.

Investigative Process Overview

Current Stage of Investigation

  • Emphasis on gathering information regarding the complaint.

  • Internal investigation process comprises of six components.

    • Goal: Conduct a fair and thorough investigation of potential serious policy violations.

  • Efficient, discrete, and fair investigation required.

Continuous Assessment in Investigation

  • Assessment methods:

    • Ask and revisit questions, consider potential outcomes (upsides and downsides), and make informed decisions.

    • No definitive right or wrong answers during this evaluation.

  • Aim: Gather sufficient information to reach conclusions rather than exhaustive data collection.

Learning and Application in Investigative Methods

Reflective Learning Approach

  • Importance of pausing to reflect on key learnings.

  • Actively applying learnings to improve retention:

    • Transfer insights into professional actions.

    • Continuous reflection enables better application of knowledge and skills.

  • Professor Brecker encourages repeated exposure to information for enhanced recall.

  • Recommendations for effective reflection include:

    • Pausing for reflection every 45 minutes.

    • Focusing on one key learning at a time.

Investigating the Issues: Who Handles the Investigation?

Identifying the Investigator

  • Importance of determining the appropriate investigator:

    • Consider conflict of interest or lack of expertise regarding the situation.

    • In cases involving compliance or security, the experts in those areas must be involved.

  • Process for rerouting investigations:

    • Forward all related documents and information to the new investigator.

    • Joint investigations may require coordination among different departments.

    • Must involve HR when employee issues are present.

Terminology in Investigations

Importance of Language Usage

  • Language must be neutral and objective:

    • Referring to gathered information as "factual information" instead of "the facts".

    • Avoiding the term "allegations" in favor of "information provided by the complainant".

  • Replacing negative terminology:

    • Use "respondent" instead of "the accused".

    • Referring to sources of information as "people with information" instead of "witnesses".

  • Purpose: Maintain a fair mindset throughout the investigation.

Organizing Information in Investigations

Methodologies for Documentation

  • Key suggestions for managing, organizing, and documenting the investigation:

    • Begin documenting from the initial learning stage of the situation.

    • Create folders (digital/hard copy) for interviews, documents, communications, and personal notes.

    • Ensure the method is consistent and secure.

    • Ensure confidentiality of information and only retain relevant documents.

  • Review the documentation method with experts, including legal counsel.

Morgan Case Study Debrief

Reaction to Morgan's Situation

  • Reflections on Morgan's demeanor and information:

    • Consider biases and assumptions that might influence perception.

    • Encouragement to assess any preconceived notions affecting the information gathering process.

Module Wrap-Up

Summary of Key Points

  • Explored the importance of:

    • Determining the investigator.

    • Using appropriate terminology.

    • Organizing information effectively for the internal investigation process.