Thompson's list of things to consider obtaining includes: personnel files, telephone records, expense account records, computerized personnel information, appointment calendars, time cards, building entrance/exit records, computer/word processing disks and hard drive, e-mail records and voice mail records.Ĭonsider the need for special investigative techniques. Quick and appropriate action can help head off future legal challenges and also minimize negative impact on morale.Ĭollect documents and evidence. In a team interview, one person may ask questions while the other takes notes and records observations.Įstablish the time frame for the investigation. Interviewing suspects one-on-one, unless recorded, can create an opportunity for a plaintiff to challenge the interviewer's notes or recollection. Extreme circumstances might require removing the suspect from the workplace via paid suspension.įorm an interview team and divide duties. Keeping the investigation confidential is one step. Even worse, the alleged wrongdoer (and even the complainant) might intimidate, harass, or retaliate against witnesses in an attempt to influence the outcome of the investigation," Thompson writes. "Certain witnesses to the investigation might feel intimidated by the alleged wrongdoer, even by the simple fact that the alleged wrongdoer is in the workplace.
A confirmatory memorandum clarifies the scope of the investigation for all parties involved, including the complainant. You may determine this is necessary, frequently the case when a verbal complaint or accusation is made. In the event that, for example, the subject of the investigation files a lawsuit against your company, you will need to demonstrate to a judge's satisfaction that you behaved responsibly and legally throughout.Īnother key document is a confirmatory memorandum. This includes documenting your compliance with your own policies. A clearly written policy will help your arrive at a successful and correct outcome, avoid common blunders, ensure that proper documentation is kept (see next point), and keep your company out of legal hot water.ĭocument your work. It should dictate the appropriate personnel and procedures for internal investigations at your organization.
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(In fact, Thompson has written a series of books to provide specific direction to various constituencies: audit, IT, facilities/building management, Human Resources, and so on.) He offers the following fundamental to-do list in planning and executing an internal investigation. Q: What planning steps should be undertaken at the outset of an internal investigation?Ī: Attorney John Thompson notes that investigations are often lead by personnel other than security.