Queen's University IRC

Mastering Fact-Finding and Investigation

Building Internal Capacity to Effectively Deal with Workplace Complaints

4 CREDITS

VIRTUAL LEARNING MODEL

PROGRAM OVERVIEW

According to research conducted by Queen’s IRC, today’s labour relations practitioners are spending an increasing amount of time — up to 25 percent of their efforts — conducting formal and informal investigations of workplace complaints. The complaints may relate to harassment, conflicts of interest, discrimination, whistle blowing, or many other difficult types of cases, and are partly a response to tougher human rights and occupational health and safety laws. But research also shows that many HR managers and LR practitioners, including union representatives, feel they are inadequately prepared for the rigours of investigating complaints. This program gives LR Practitioners hands-on training on how to assemble the facts of a case without worsening the situation.

DATE, LOCATION & FEE

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WHO SHOULD ATTEND

  • Managers, supervisors, union officials, and Labour Relations and Human Resources professionals who are involved in statutory and non-statutory harassment fact-finding as well as other types of workplace investigations

ORGANIZATIONAL BENEFITS

  • Significant savings in third-party fact-finding costs
  • Faster and more streamlined preparation for investigations
  • More reliable investigation results
  • Greater internal capacity for gathering evidence
  • Investigative reports that comply with statutory obligations
  • Ability to assess quality of report and findings

TAKEAWAY TOOLS

  • Fact-Finding Workbook
  • Interview Templates
  • Sample Fact-Finding Reports

Download a brochure

LEARNING OUTCOMES

Learn how to:

  • Pre-screen complaints and select the correct process
  • Plan the investigation using a step-by-step guide
  • Participate in a joint union-management investigation process
  • Conduct effective interviews
  • Handle difficult witnesses
  • Gather and assess evidence
  • Write an investigation report

PROGRAM DETAILS

Learn how to plan the investigation, conduct interviews, and properly weigh the evidence. Receive on-the-spot coaching to ensure the skills you develop can be immediately and effectively applied back on the job.

a) Selecting the Right Path

Which fact-finding process is best? Your session leaders will discuss the differences between a formal investigation and an informal workplace assessment.

  • A formal investigation is held to comply with the employer’s responsibilities under human rights or other legislation.
  • A workplace assessment is a non-blaming process that offers generic results and recommendations that may be shared with staff.

You’ll be guided through the four stages of the fact-finding process. Learn how to pre-screen complaints and ensure you select the correct process and terms of reference for the issue. Review the legal framework and key procedural aspects and principles.

Ultimately, the investigation process you’ll follow will depend on several factors:

  • What are the dynamics of conflict, in terms of interests and relationships?
  • What are the applicable policies?
  • What is the desired outcome: Deterrence or confidentiality? Compliance with statutory obligations? Workplace restoration?

b) Preparing the Plan

An investigation encompasses four stages: pre-investigation screening, planning the investigation, interviewing, and preparing the interview report. Learn the key elements to preparing a plan:

  • Listing and numbering the important questions to be answered
  • Identifying the right people to be interviewed
  • Identifying the records to be examined and the person from whom they should be obtained

You’ll be guided through this process to learn how to identify witnesses and relevant documentation, and how to craft essential questions.

c) The Art and Science of Interviewing

What are the key issues that need to be considered when staging an interview? Using a case study based on an actual situation as well as tips on empathetic listening, you will apply your learning and use your skills to interview witnesses and handle difficult behaviours, and be coached along the way. You’ll also take away a list of sample questions to get you started.

Learn how to:

  • Prepare for the interview, including how to build the conditions for the best outcomes and how to ensure fairness
  • Open the interview and set the context
  • Craft the right questions, based on the five W’s: who, what, where, when, why
  • Deal with reluctant, uncooperative, or emotional witnesses
  • See through smokescreens and issues unrelated to the complaint at hand
  • Conclude the interview on the right note

d) Gathering and Documenting Evidence

Drawing on templates and structured formats, you will practice compiling evidence to support your investigative findings. Experienced leaders will walk you through evidentiary do’s and don’s. You will also learn how to identify useful evidence based on its relevance, credibility, and admissibility in legal proceedings.

e) Report Your Findings

What are the essential components of an investigative report? How do you assess and compile evidence? Work with your learning team to create a written summary of your findings and analysis, including the terms of reference, process followed, summary of evidence, findings in dispute and not in dispute, and analysis.

f) Navigating Through the Common Pitfalls

Session leaders will help you recognize the most common barriers to an effective fact-finding exercise.

The possible pitfalls are many, including:

  • Institutional delay
  • Difficult witnesses
  • Involvement of lawyers
  • Lack of direct access to witnesses
  • Investigator bias

By the end of this module, you will have several organizational strategies that can be deployed to ensure consistent results.

g) Post-Investigation Considerations

Learn how to follow through after an investigation, from notifying parties to addressing ongoing workplace issues.

FACILITATORS AND GUEST SPEAKERS

Anne Grant

Lead Facilitator
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Anne Grant, Lead Facilitator


Anne Grant has practised as a full-time mediator and conflict resolution professional since 1994. Anne’s dispute resolution practice includes extensive mediation of labour and civil disputes. She specializes in the assessment and restoration of poisoned work environments as well as conducting a range of workplace investigations. Currently she is the lead facilitator for the Queen’s IRC Labour Relations Foundations, Mastering Fact-Finding and Investigation, and Workplace Restoration programs, and Past President of the ADR Institute of Ontario.


In the area of labour relations, Anne has facilitated the development of collective bargaining mandates, assisted workplace parties to implement comprehensive bumping processes, facilitated union management forums for the Workers Safety and Insurance Board and has facilitated interprovincial trade agreements to address the labour mobility of various professional groups.

Qualified in law, mediation and nursing, Anne has far-reaching experience handling toxic workplaces in the public and private sector. She provides strategies to address dysfunction at the individual, team and departmental level. Her experience includes extensive mediation of civil and labour disputes, as well as facilitation, poisoned work environment interventions and human rights investigations.

She holds the national designation of Chartered Mediator and obtained her Masters-in-Law in ADR from Osgoode Hall Law School in 1997.  In 2007, she was awarded the Ontario Bar Association’s annual Award of Excellence in ADR.

Anne is published provincially and nationally in the areas of ADR and legal issues in health care.  She is co-author of A Nurses’ Practical Guide to the Law (Canada Law Book 1997), and Dispute Resolution in the Insurance Industry, (Canada Law Book 2001).  Prior to practising mediation, she practised labour law, health care lobbying and peri-operative nursing.