JBM Consulting
September 2010
DID YOU KNOW? An employers response to complaints is a key factor in a complaintant's decision to file a lawsuit!
 
Conducting Investigations can be one of the most important roles administration has to ensure objectivity, fairness, respect and integrity.  Investigations take time, require proper focus to ensure all constituents who need to be involved are in fact part of this "fact finding" function.
 
Many administrators do not have the time necessary to devote to such investigations in the manner that is required to ensure a complete one!
 
Many have said they do not have well trained administrators to handle the function.  This is when you need to consider hiring that Third Party professional to assist.  This is less about legal than it is about listening and understanding the scope of the issues at hand!  Further a Third Party is often more likely to be perceived as objective making the decision a bit more palatable to those invested.
 
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
    Conducting investigations are a critial function to minimize legal challenges and to maintain integrity, fairness, objectivity and respect!
    Consider the use of a third party investigator well trained in how to handle the investigations appropriately and effectively!
    JBM CAN HELP!