PREPARE FOR THE INVESTIGATION
Determine best person(s) to handle the investigation
- Ensure this person knows the policies and scope of the issue at hand; the same person is not always the appropriate individual to handle every investigation unless they are well trained and professionally prepared to do so (often ideal to have a Third Party investigator aside from legal counsel that will always be part of the process at some point)
- Often there are multiple investigators
- Ensure you minimize perceptions of bias
- Consider the time related to business operations that cannot be delayed
- This person must possess strong active listening skills as well as critical thinking
skills
Determine "Merits" of the complaint
- Gathering pertinent documentation available
- Preserve electronic data and ensure there are no deletions of records for those being included in the investigation; involve IT as necessary to "freeze" such data
- Review all pertinent files
Comply with legal obligations and policy and procedure
Conduct the investigation in a timely manner, set up timelines and stick to them; check for policy;procedures/legally required timelines
Identify all witnesses, and "stakeholders" so that all necessary parties are interviewed for a complete and objective investigation
DOCUMENT DOCUMENT DOCUMENT ALL MEETING NOTES! Names, titles, dates, times all important!
Confidentiality is critical, to the extent possible, ensure it!
Preserve reputations of all involved
Take remedial action appropriate to the facts uncovered
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Conducting the Interviews
Begin with introduction on the issue or reason for the meeting
Take notes or have someone present to take notes so the interviewer can focus on the person talking
Discuss importance of confidentiality and their role in this
REMAIN NEUTRAL
Keep meeting on track to ensure optimal information gathering
Anticipate emotional reactions and take a break if need be
Interview "complainant" first
The "accused" typically is next
"Listen" carefully and follow up on matters that arise
- Types of questions asked are very important; avoid confrontational, intimidating or leading types of questions; keep questions open ended
Making the Decisions
- Utilize all pertinent information
- Consider appropriate disciplinary or remedial action
- Consider the use of training or professional development
- Avoid worrying too much about "public opinion" rather do the "right thing"
- Be sure to provide results only to those people who NEED to know, holding details that must remain confidential
Above all else...Employers should respond promptly, thoroughly and in a manner that is perceived as fair and objective. The main focus is to learn the facts, make proper decisions and avoid possible liability! |
This is one of the many services JBM provides! JBM has over 25 years of experience handling investigations resulting in a track record of NO successful lawsuits!
It's not about just holding investigations but ensuring the process was well organized and thorough! Next time you need to consider an investigation, contact me!
Warmest Regards, Jeannine Brown Miller, MA, SPHR Principal Consultant JBM Consulting 716-946-8381
VISIT ME ON FACEBOOK www.facebook.com/JBMconsulting AND
LINKED IN http://www.linkedin.com/in/jbmhr |