How to Conduct an Internal Workplace Investigation: Back to Basics

Agenda / Content Covered

1. Case Law Developments, Hot Topics, and Emerging Trends in Workplace Investigations
   10:00 - 10:45, Steven E. Clark
2. Planning the Investigation: Legal Best Practices
   10:45 - 11:45, Aaron V. Rocke
   1. Handling Internal Complaints: Key Steps to Take
   2. Determining Whether a Workplace Investigation Is Necessary
   3. Guidelines for Determining Who Should Conduct the Investigation
   4. Managing Investigation Costs
   5. Conducting an International Workplace Investigation: What Cross-Border Compliance Could Entail
3. Best Practices for Preserving Attorney-Client Privilege and the Work-Product Doctrine During the Investigation
   12:00 - 12:45, Steven E. Clark
   1. The Attorney’s Role in the Investigation
   2. Business Advice vs. Legal 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 Dos and Don'ts
4. Conducting the Workplace Investigation: Legal Essentials
   1:15 - 2:15, Aaron V. Rocke
   1. Useful Tips for Gathering Documents and Interview Materials
   2. Practical Guidance for Conducting Interviews
   3. Leaving a Paper Trail: Why It Matters
   4. Best Practices for Creating the Final Investigative Report
   5. Investigation Errors to Avoid At All Costs
5. Handling DOL and EEOC Investigations: Plaintiff and Defense Perspectives
   2:15 - 3:00, Steven E. Clark
   1. Putting Effective Policies in Place to Prevent EEOC Investigations
   2. Properly Following Administrative Proceedings
   3. Essentials of Documenting and Investigating EEOC Complaints
   4. Raising EEOC Claims: Enhanced Internal Processes
   5. Tips for Handling EEOC Complaints and Drafting Position Statements
   6. How to Respond to an Agency's Request for Information
6. Using the Results of the Investigation for Disciplinary Actions and Termination Decisions
   3:00 - 3:45, J. Gregory Grisham
   1. Timing Considerations
   2. Performance Improvement Plans (PIPs): Drafting and Implementation Essentials
   3. Conducting the Disciplinary or Termination Meeting: What You Need to Know and Do
   4. Handling Whistleblower Allegations
7. Ethical Issues
   4:00 - 5:00, J. Gregory Grisham
   1. Rules of Professional Conduct
   2. Conflicts of Interest
   3. Confidentiality
   4. Attorneys' Fees

Accreditation Details:

Steven E. Clark is the senior partner and founder of Clark Firm PLLC, where he concentrates his practice on business formation, contractual agreements and advice, business and commercial litigation, employment and labor law, general civil litigation, healthcare, and construction. Mr. Clark has lectured and written on subjects such as choice of business entity considerations, trade secrets, non-competition agreements, partnerships, construction law, employment law, the Family and Medical Leave Act (FMLA), and the Fair Labor Standards Act (FLSA). He is also active in handling federal Department of Labor (DOL), state (TWC), and health integrity/ZPIC audits/investigations of employers and small businesses, and defending related litigation. Mr. Clark is licensed to practice before U.S. Supreme Court, U.S. Court of Appeals, Fifth Circuit, Federal Circuit, and all federal and state courts in Texas. He earned his B.A. degree and J.D. degree, with honors, from the University of Houston.

J. Gregory Grisham is of counsel in the Memphis office of Fisher & Phillips LLP. Mr. Grisham has 30 years of experience counseling and representing employers in all aspects of workplace law in Tennessee and across the United States. He has helped employers avoid claims, charges, and lawsuits, with a focus on preventative practices. Preventative practices include counseling in situations involving discipline, termination, demotion, promotion, and other workplace changes in the terms and conditions of employment, harassment investigations, wage and hour compliance, FMLA compliance, reasonable accommodation assessment, supervisor training, and the review of employment policies and procedures. Mr. Grisham has successfully litigated hundreds of administrative charges, employment lawsuits, and arbitration demands on behalf of employers, including federal and state law claims alleging discrimination, harassment, retaliation, wrongful termination, defamation, invasion of privacy, breach of contract, wage and hour violations and ERISA violations, among others. He represents employers in the enforcement of post-employment restrictive covenants, such as non-compete, non-solicitation and non-disclosure agreements, and related trade secret litigation. Mr. Grisham is a regular speaker at public seminars on workplace law issues, and has authored numerous articles on a variety of labor and employment law related topics. He currently serves on the Executive Council of the Tennessee Bar Association's Labor and Employment Law Section and is a board member of the Memphis Bar Association's Labor and Employment Law Section. Mr. Grisham earned his B.S. degree from the University of Tennessee, his M.B.A. degree from the University of Mississippi and his J.D. degree, with honors, from the University of Memphis.

Aaron V. Rocke is a partner in the Rocke Law Group, PLLC, in Seattle, where he heads the firm's litigation practice. He practices primarily in the areas of employment litigation, commercial litigation and personal injury litigation. Mr. Rocke has frequently taught trial techniques and seminars to other lawyers, and has served as faculty for the National Institute of Trial Advocacy and as an adjunct professor at Seattle University School of Law. He is trained to mediate cases with the EEOC. Mr. Rocke also serves as a judge pro tem. He earned his B.A. degree from the University of Washington and his J.D. degree from Seattle University School of Law. Mr. Rocke is a member of the Washington State Bar Association.