The document outlines 10 critical mistakes that can occur in workplace investigation programs and how to avoid them. It discusses mistakes related to having an incomplete system, not taking care of details, not paying attention to trends, not collaborating with others, not following proper processes, using the wrong investigator, not challenging the investigator, overstepping boundaries, assuming procedural fairness is easy, and thinking investigations can't be challenged. It provides tips for business leaders, HR leaders, and investigators to review practices, collaborate with peers, and continuously improve their workplace investigation programs to avoid common pitfalls.

1. 10 Critical Mistakes in Workplace
Investigation Programs and How to
Avoid Them
Ken McCarthy, President, Integrity By McCarthy Inc.
Thursday November 19, 2020
at 2:00 p.m. EST

2. Overview
For Business and Government Leaders
For Human Resources Leaders
For Workplace Investigators
• What could possibly go wrong?
• How to avoid the major mishaps
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3. Have any of your investigations ever been challenged through a
lawsuit or formal recourse mechanism?
a. Yes
b. No
c. Don’t know / Not Applicable
Poll Question # 1
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4. For those of you who have had your investigations challenged
through a lawsuit or formal recourse mechanism, how were they
resolved?
a. Decision in your favor
b. Decision in the complainant’s favor
c. Mediation / Settlement
d. More than one of the above
Poll Question # 2
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5. Have you personally ever had to testify before a court or tribunal
to defend your investigation?
a. Yes
b. No
Poll Question # 3
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6. What could possibly go wrong?
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7. Community
Support
Healthcare
System
Prevention ResolutionInvestigation Restoration
Investigation Programs -
One Piece of a Bigger Picture
Complainant
Broken
Lives
Productivity
Loss
Ruined
Careers
Financial
Losses
Damaged
Reputations
Mental
Health
IssuesWitnesses
Labour
Unions
Mediators
Arbitrators
Adjudicators
Judges
Labour
Advisors
Respondent
Managers
Lawyers
Investigators
Labour Dept.
EEOC & ESDC
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8. Sources of Mistakes
People Systems
Legal
Process
PolicyPolitics
Competence
Bias
Integrity
Accountability
Ego
Complacency
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9. Mistake # 1
Absence of a complete “system”
• Prevention to resolution
• Investigation to litigation
• Feedback loop
• Ownership at all levels
Complacency
Accountability
Integrity
Competence
Process
Ego
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10. Mistake # 2
Not taking care of the little things
• Documentation
• Communication
• Expectations
• Timeliness
• Follow-up
Competence
Accountability
Complacency
Integrity
10

11. Mistake # 3
Not paying attention to current trends
• Subscriptions
• When to act
• When not to act
• When to tweak
Competence
Complacency
Accountability
Ego
Process
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12. Mistake # 4
Not collaborating with others
• Going at it alone
• Competition
• Know it all
Ego
Competence
Complacency
Accountability
Bias
Politics
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13. Mistake # 5
Not following the “process”
• One size fits all
• Evidence collection
• Procedural fairness
• Credibility assessment
Ego
Competence
Complacency
Process
Policy
Legal
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14. Mistake # 6
Not using the right investigator for the
job
• The investigator “hat”
• The right fit
• Conflict of interest
Bias
Ego
Competence
Complacency
Politics
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15. Mistake # 7
Not challenging the investigator
• Accept everything
• Ask why
• Time pressures
Ego
Accountability
Politics
Bias
Complacency
Legal
Competence
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16. Mistake # 8
Crossing the line
• Who to talk to
• Who not to talk to
• Attempted influence
Politics
Ego
Competence
Accountability
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17. Mistake # 9
Assuming that Procedural Fairness and
Objectivity are Easy
• Protection vs. Disclosure
• Leaving your biases at the door
Complacency
Ego
Competence
Bias
Legal
Policy
Process
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18. Mistake # 10
Thinking You Are “Untouchable”
• Could you ever be accused of something untoward? No Way!
• Trust in the process
• Who you are
• The “Most Dangerous Game” **
• Moving on
**Short story by Richard Connell, first published on January 19, 1924
Ego
Competence
Bias
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19. Five (5) Fatal Traps for Leaders
1. Lack of interest
2. Off the record
3. Pass the buck
4. Go it alone
5. Accountability
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20. Five (5) Fatal Traps for
Investigators
1. One-time deal
2. Documentation
3. Complacency
4. The Vortex
5. Forest for the trees.
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21. Five (5) Fatal Traps for Subjects
and Witnesses
1. Refuse to cooperate
2. Lie to the investigator
3. Do not advocate for yourself
4. Believe your “friends” have got your back
5. Lie to yourself
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22. How to Avoid the Major Mishaps
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23. The Easy Stuff!
1. Build that system that you have been putting off
2. Play the long game
3. Make environmental scanning a best practice
4. Don’t go it alone
5. Challenge yourself and others as a matter of practice
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24. What You Need to Do Right Now
If you are a Business Leader
1. Take ownership
2. Show that you care
3. Ask for help
If you are a Human Resources Leader
1. Scan for risks and trends
2. Conduct a needs assessment
3. Empower the business leaders
If you are a Workplace Investigator
1. Review your current practices
2. Adjust for excellence
3. Reach out to a peer to chat
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25. Closing thoughts
• You may never find yourself having to defend your work
• Critical mistakes can and should be avoided
• There is so much great support out there
• Raising the bar is really hard
Please send an email titled “Information” to
kenneth@integritybymccarthy.ca if you would like to have access to
similar material on preventing and resolving workplace issues.
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26. Thank-you for participating
Ken McCarthy
kenneth@integritybymccarthy.ca
1-613-794-6127
Contact i-Sight
j.gerard@i-sight.com
Find more free webinars:
http://www.i-sight.com/resources/webinars
@isightsoftware
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