As an employer, you've done all the right things. You have clearly articulated policies and practices and non-negotiable company values. You build ethics and values-centered criteria into you hiring practices, performance reviews and development programs. Your leaders and employees walk the talk, model the behaviors and hold others accountable for operating according to those values and policies.
And then you get the call. Or the email. Or the unexpected late afternoon visitor.
Hopefully the heads up comes from someone inside the organization, but sometimes you are first alerted to a problem by someone outside the organization.
And then you get the call. Or the email. Or the unexpected late afternoon visitor.
Hopefully the heads up comes from someone inside the organization, but sometimes you are first alerted to a problem by someone outside the organization.
What should you do?
1. Collect as much information as possible from the person making the report. Be sure to cover the 5 W's: why (s)he is concerned, what happened, when it happened, where it happened, and who was involved or may have information regarding the incident(s).
2. Start an investigation file. Clear and complete record keeping is essential. Type up your notes of the initial report. Create logs to record witness, evidence and activity details.
3. Identify the investigation team. Speak with the appropriate senior leader to discuss the incident and determine next steps. Decide who should conduct the investigation and interviews. This is most often the HR professional. If the allegation involves HR or a senior level person, consider whether to engage an outside party to conduct the investigation. If the report came from the media or a government agency you should also contact your attorney.
4. Plan and prepare. Plan the investigation and prepare for interviews. Create a list of questions for witnesses. Add to, or modify, these questions before you meet with the accused. Information discovered during witness interviews will likely spark more questions
5. Conduct the interviews
Focus on facts. Remain impartial. Do not offer opinions. Don’t assume. Leave baggage at the door.
Make the person comfortable. People are often nervous and hesitant to participate in investigations. They fear retaliation, don’t think the person did anything wrong, or may not want to get someone in trouble.
Provide participants with a short document that outlines the purpose of the investigation, your role, confidentiality, and any impact of not participating. You would think this formality would make someone nervous, but holding that piece of paper and walking through it puts people more at ease.
Start with general questions that are easy to answer. How long have you worked here? Tell me about your position. Have you worked in other parts of the company?
Transition. Ask, "What do you know about why you have been asked here today?" Let the person share their story. Don't interrupt. Don't take too many notes at this point. Just listen.
Go over the story again, this time in more detail. Ask the person to elaborate, ask clarifying questions. Ask specific questions about the alleged incident. Again, focus on the 5 W's.
Ask about relevant company policies and practices. Get specific. How does someone learn about this policy? How is it applied to everyday situations? Is the policy actually enforced?
Review available evidence (video, emails, documents, written policies, etc.) with the participant. Ask questions and listen for any information that is not consistent with other witness statements.
Verbally summarize your notes for the participant and ask if you have everything recorded correctly. Modify your notes as needed.
Close the interview. Remind the person about confidentiality and policies prohibiting retaliation. Thank them for their time and ask if it is ok to follow up with them if you have more questions. Tell them what to expect next.
6. Type up and review all the interview notes. Make note of inconsistencies among witnesses.
7. Conduct follow up interviews as appropriate.
8. Analyze the findings and write a summary report. Detail your credibility assessment of each participant.
9. Make a determination with the senior leader or assigned decision maker.
10. Follow up with the accused and the accuser.
I truly hope you don’t ever find yourself in this situation. If you do, feel free to give Roo a call.
1. Collect as much information as possible from the person making the report. Be sure to cover the 5 W's: why (s)he is concerned, what happened, when it happened, where it happened, and who was involved or may have information regarding the incident(s).
2. Start an investigation file. Clear and complete record keeping is essential. Type up your notes of the initial report. Create logs to record witness, evidence and activity details.
3. Identify the investigation team. Speak with the appropriate senior leader to discuss the incident and determine next steps. Decide who should conduct the investigation and interviews. This is most often the HR professional. If the allegation involves HR or a senior level person, consider whether to engage an outside party to conduct the investigation. If the report came from the media or a government agency you should also contact your attorney.
4. Plan and prepare. Plan the investigation and prepare for interviews. Create a list of questions for witnesses. Add to, or modify, these questions before you meet with the accused. Information discovered during witness interviews will likely spark more questions
5. Conduct the interviews
Focus on facts. Remain impartial. Do not offer opinions. Don’t assume. Leave baggage at the door.
Make the person comfortable. People are often nervous and hesitant to participate in investigations. They fear retaliation, don’t think the person did anything wrong, or may not want to get someone in trouble.
Provide participants with a short document that outlines the purpose of the investigation, your role, confidentiality, and any impact of not participating. You would think this formality would make someone nervous, but holding that piece of paper and walking through it puts people more at ease.
Start with general questions that are easy to answer. How long have you worked here? Tell me about your position. Have you worked in other parts of the company?
Transition. Ask, "What do you know about why you have been asked here today?" Let the person share their story. Don't interrupt. Don't take too many notes at this point. Just listen.
Go over the story again, this time in more detail. Ask the person to elaborate, ask clarifying questions. Ask specific questions about the alleged incident. Again, focus on the 5 W's.
Ask about relevant company policies and practices. Get specific. How does someone learn about this policy? How is it applied to everyday situations? Is the policy actually enforced?
Review available evidence (video, emails, documents, written policies, etc.) with the participant. Ask questions and listen for any information that is not consistent with other witness statements.
Verbally summarize your notes for the participant and ask if you have everything recorded correctly. Modify your notes as needed.
Close the interview. Remind the person about confidentiality and policies prohibiting retaliation. Thank them for their time and ask if it is ok to follow up with them if you have more questions. Tell them what to expect next.
6. Type up and review all the interview notes. Make note of inconsistencies among witnesses.
7. Conduct follow up interviews as appropriate.
8. Analyze the findings and write a summary report. Detail your credibility assessment of each participant.
9. Make a determination with the senior leader or assigned decision maker.
10. Follow up with the accused and the accuser.
I truly hope you don’t ever find yourself in this situation. If you do, feel free to give Roo a call.