While most businesses are getting used to new ways of working, with many employees working remotely, new challenges are arising, especially where workplace investigations are concerned. Simply pausing investigations and compliance activities isn’t a viable option. Misconduct doesn’t take a break during times of crisis, and neither does the need to investigate it. Workplace investigators are challenged to find ways to conduct their investigations without the ability to travel or engage in face-to-face communication. This requires new policies, procedures and best practices.

1. Tips, Templates and Best Practices for
Conducting Investigations Remotely
Lorene F. Schaefer, Esq., CEO, Win-Win Resolve, Inc.

2. About Lorene Schaefer
and Win-Win Resolve™
Lorene Schaefer, Esq., Win-Win Resolve™ CEO, has 30+ years of legal
experience, including 14-years as in-house counsel at one of the largest
federal contractors in the country, the General Electric Company.
Win-Win Resolve’s™ services include workplace and harassment
investigations, workplace mediations, Title IX investigations, Federal
Sector EEO investigations and Management Inquiries, and Conflict
Resolution Training. We incorporate a “win-win,” balanced and
procedurally fair approach to all our services. Our approach is designed
to ensure (1) all investigators are not only neutral but perceived as
neutral; (2) all employees interviewed feel heard and respected; and (3)
employees view the investigation process as consistently applied across
the organization. Our team of investigators, mediators, and trainers
includes employment lawyers, HR professionals, Conflict Resolution
professionals and paralegals. They are all also federally certified EEO
investigators and trained in Win-Win Resolve’s™ procedurally fair
approach to conducting investigations designed to build stakeholder
trust. www.WinWinResolve.com
©2020 Win-Win Resolve, Inc.
All rights reserved.

3. Agenda
• What Has Being Forced Into Remote Investigations
Taught Us?
• Remote Investigation Protocols & Practices
• Selection of Investigators for Remote Investigations
• Remote Document Collection
• Remote Witness Interviews
©2020 Win-Win Resolve, Inc.
All rights reserved.

4. • Harassment & Misconduct Does Not Go Away in
Remote Work Environment
• Need to Evaluate Changes to Protocols & Practices
• Opportunity for Process Improvements
• Training, Experience & Skills of Investigators Even
More Critical
What Has Being Forced Into Remote
Investigations Taught Us?
©2020 Win-Win Resolve, Inc.
All rights reserved.

5. • Global pandemic driving review of allocation and expenditure
of resources from enterprise perspective – not just internal
investigation function
• Revisit Pre-Covid Triage of Allegations
• Revisit Pre-Covid Triage of Internal Investigations
• Revisit Pre-Covid Selection of Investigators
• Revisit Pre-Covid Document Collection
• Revisit Pre-Covid Witness Interviews
Evaluate Changes to Protocols &
Practices
©2020 Win-Win Resolve, Inc.
All rights reserved.
Document Reasons for Any Changes to Protocols & Practices

6. Post-Covid Triage of Allegations
©2020 Win-Win Resolve, Inc.
All rights reserved.
Low
Risk
Extreme
Risk
- No press
- No regulatory or Legal action
- Limited to no impact on customers
- Limited financial impact
- Complaint not credible
- Negative front page
- Major Legal Investigations/Lawsuits
- Significant customer loss or harm
- Bet the company
- Highly credible complaint
Tailor to Organization’s CURRENT Risk Profile
“Routine” Serious High-Stakes

7. Post-Covid Triage of Internal
Investigations
©2020 Win-Win Resolve, Inc.
All rights reserved.
“Routine” High
Stakes
- HR - Internal Audit - Outside Counsel
- Management - In-House Counsel - Outside Experts
- Privilege
Review & Approval Oversight by Senior Management
by Senior Management Senior Management Board Committee
Government
DOJ Recognizes “Risk-Tailored Resource Allocation”

8. Remote investigations are harder & more unpredictable
Checklist for Protocols & Practices
Review Investigator Selection
©2020 Win-Win Resolve, Inc.
All rights reserved.
Traditional Selection Criteria
 Well-trained
 Objective & Independent
 Skill & personality to establish
trust
 Understanding of legal
processes
 Knowledge of applicable
policies
 Strong writing, analytical &
communication skills
Remote Selection Criteria
 All traditional criteria
+
 Experienced
 Adaptable
 Excellent writing & analytical
skills
 Proficient with video-
conference and document
collection tools
 Private & quiet setting

9. Poll Question
Do you have witnesses agree before the
start of remote interview they will not:
a. Have anyone in the room with them during the
interview
b. Consult anyone during the interview
b. Record interviews
c. Take screen shots if documents are shown using
screen-share
d. Have not done a remote interview yet
©2020 Win-Win Resolve, Inc.
All rights reserved.

10. Tips for Remote Witness Interviews
©2020 Win-Win Resolve, Inc.
All rights reserved.
 Use video over audio whenever possible
 Understand applicable data privacy laws & regulations
 Know & test your technology
 Provide witnesses clear instructions on using technology –
including back-up plan!
 Stress importance of private & quiet location
 Review ground rules
 Have a plan (and practice) for sharing documents
 Avoid multiple interviewers

11. Pre-view Interview Email Template
©2020 Win-Win Resolve, Inc.
All rights reserved.
Dear _______:
This will confirm we are scheduled to speak via Zoom video conference on [date] at
[time]. Please ensure you are in a private and quiet area for this call.
If you have not used Zoom before, please take time before our call to sign-up for a free
account at this link: https://zoom.us/freesignup/
Set forth below is the information for our Zoom video call.
Click HERE to Join Zoom Meeting:
https://us02web.zoom.us/xxxx
Meeting ID: 870 xxxx xxxx
Passcode: xxxxxx
I look forward to speaking with you.
Kind regards,

12. Ice Breaker Sample for Remote
Witness Interviews
©2020 Win-Win Resolve, Inc.
All rights reserved.
Thanks so much for agreeing to speak to me via Zoom
video conference.
I am interviewing you from here in my home office
(show room). I am alone and have cleared two-hours
from my calendar so we do not have any interruptions.
Before we get started, I want to take a moment and
acknowledge unusual circumstances of interviewing
you via video in your [home, dining room, car, etc]. I
truly appreciate you allowing me into your private
space.

13. Ground Rules – Best Practice Confirm
in Writing Pre-Interview
©2020 Win-Win Resolve, Inc.
All rights reserved.
 No one else in room or listening to call
 Answer all questions without input from anyone
 Attorney-client privilege/confidentiality explanation
 Upjohn warning
 No recording
 No screen shots or downloading
 Breaks
 Back-up plan for accidental disconnection

14. Poll Question
How do you collect documents during
remote investigations?
a. Email
b. Hard copy via USPS, Fedex, etc.
c. Upload to confidential cloud-based document
management system
d. Have not done remote investigation so I do not
have process or haven’t thought about it yet
©2020 Win-Win Resolve, Inc.
All rights reserved.

15.  Use confidential cloud-based document management system
over email whenever possible
 Have a plan to address data privacy compliance
 Know & test your document management system
 Provide clear instructions for using document management
system
 Have a plan for witnesses without Scanners/Copiers
 Have a plan for handling hard-copy documents located only in
non-accessible locations
Tips for Remote Document Collection
©2020 Win-Win Resolve, Inc.
All rights reserved.

16. Document Collection - Post
Interview Email Template
©2020 Win-Win Resolve, Inc.
All rights reserved.
Dear _______:
Thank you for speaking with me earlier today.
As we discussed, you will receive an email from mail@sf-notifications.com
with instructions on how to create a password and upload documents to the
confidential file folder I have created for you. Please upload the following
documents as soon as possible to this this confidential file folder:
1. Insert numbered list of requested documents
Should you have any questions, please let me know.
Thanks again for your cooperation.
Kind regards,
Investigator

17. Thank you for participating
Contact Lorene F. Schaefer, CEO
Lorene@WinWinResolve.com
@WinWinHR
https://www.linkedin.com/in/loreneschaefer/
Contact i-Sight
j.gerard@i-sight.com
@isightsoftware
©2020 Win-Win Resolve, Inc.
All rights reserved.