1. INVESTIGATIONS MEDIATIONS & ARBITRATIONS POWER TOOLS FOR MANAGING WORKPLACE DISPUTES © Patricia Lee Connors, Esq. 916.449.3980 patricia@connorsadr.com

2. INVESTIGATIONS GETTING THE FACTS IDENTIFYING THE INVESTIGATOR ASSISTING THE INVESTIGATOR INTERVIEWS AND DOCUMENTS THE FINAL REPORT

3. WHY INVESTIGATE? LIMIT DAMAGES TO ALL CONCERNED MEMORIALIZE STATEMENTS OF WITNESSES EVALUATE OPTIONS FOR RESOLUTION ROLE OF COUNSEL

4. WHO SHOULD DO THE INVESTIGATION? IN-HOUSE INVESTIGATORS OUTSIDE INVESTIGATORS ALL NEED: TRAINING EXPERIENCE DISCRETION AND SENSITIVITY

5. YOUR HELPING HAND? PROVIDE BACKGROUND PREPARE THE WORKPLACE ASSIST IN SCHEDULING MAINTAIN CONFIDENTIALITY INTERIM DECISIONS OPINIONS?

6. EVIDENCE DOCUMENTS THE WRITTEN COMPLAINT KEEPING DOCUMENTS SAFE WITNESSES ORDER OF WITNESSES SUGGESTED WITNESSES

7. FINAL REPORT WHAT WILL THE REPORT INCLUDE? WHO SHOULD SEE THE REPORT? WHO SHOULD KEEP THE REPORT? HOW IS THE REPORT USED?

8. TIME FOR ACTION “PROMPT AND EFFECTIVE CORRECTIVE ACTION” RESPONSES TO YOUR ACTION OPTIONS FOR RESOLUTION

9. MEDIATIONS TURBO-CHARGED NEGOTIATIONS ROLE OF THE MEDIATOR ROLE OF THE PARTICIPANTS THE AGREEMENT

10. MEDIATIONS VOLUNTARY CONFIDENTIAL FACILITATED NEGOTIATIONS JOINT SESSIONS AND CAUCUSES PARTIES CONTROL THE PROCESS

11. THE MEDIATOR FACILITATOR, PERSUADER, CHEERLEADER, “FRIENDLY EAR” VARIOUS STYLES Evaluative Facilitative Transformative CAN SPEAK PRIVATELY TO EACH SIDE

12. ROLE OF THE PARTICIPANTS BEFORE THE SESSION, THINK ABOUT: The “facts” of the dispute What are your interests? What is your “Bottom Line” and why ? ALL “PLAYERS” EXPECT TO HAVE WAITING TIME LISTEN Evaluate and reevaluate Be open to suggestions Ask what is important IMPASSE? COME WITH YOUR LAPTOP

13. AGREEMENTS WRITTEN AGREEMENTS BINDING 664.6 SETTLEMENT

14. ARBITRATIONS RESOLUTION ON THE FAST-TRACK ROLE OF THE ARBITRATOR ROLE OF THE PARTICIPANTS THE AWARD

15. ARBITRATION PROCESS CONTRACTED PROCESS HEARING Similar to court trial Opening statements and closing arguments Witnesses are sworn Documents are admitted Less comprehensive discovery Fewer restrictions on testimony and documents Not required to have counsel LESS TIME AND MONEY THAN COURT TRIAL RESULTS IN AN AWARD

16. THE ARBITRATOR GENERALLY AN ATTORNEY OR RETIRED JUDGE NO “EX PARTE” CONTACT WITH PARTIES CONTROLS THE HEARING Makes rulings on discovery Decides what evidence is admissible AUTHORS THE AWARD

17. ROLE OF THE PARTICIPANTS EXCHANGE OF DOCUMENTS SUBMIT LIST OF EXHIBITS AND WITNESSES OBTAIN SUBPOENAS IF NECESSARY ORGANIZE DOCUMENTS TESTIFY TRUTHFULLY

18. THE AWARD GENERALLY ISSUES IN 30 DAYS BINDING MAY INCLUDE AN AWARD OF FEES AND/OR COSTS TO PREVAILING PARTY CAN BE MADE ENFORCEABLE IN COURT APPEAL IS VERY LIMITED