Internal investigations may concern different types of misconduct and could come about as a result of a whistleblower’s report, a complaint or even an item in the media. However they arise, you will need to find out what happened and deal with it appropriately. Here are some Dos and Don’ts for investigations:

DOs:

• Do make sure you have a process in place for dealing with issues that arise or complaints made. Set this up in advance and make it accessible to everyone.
• Do take action when a person reports something or when you should investigate for another reason. If you avoid investigating or prevaricate, this could cast the organisation in a poor light later on.
• Do keep the identity of a whistleblower confidential, so as to protect them from any ill-effects from having made their report.
• Do collate and preserve all the evidence and make sure to interview all those who could illuminate what happened.
• Do make sure the investigation is independent and properly conducted. Although you can conduct an investigation yourself and ensure that it is conducted at arm’s length, it is often a good idea to pass the investigation to an independent third party with no stake in the matter, so that no one can later claim there was a lack of objectivity.
• Do engage external specialists (e.g. forensic specialists or business security consultants) when you need them. Sometimes a broader perspective can be very helpful. For instance, if you need to analyse business equipment or data, you should ensure this is done by a professional.
• Do document everything to do with the investigation properly, from beginning to end. This will be particularly important if the matter later ends up in court. The court may look more favourably on an employer that has done its best to deal with the matter internally - and that includes keeping good records.
• Do communicate the conclusions of the investigation to all those who need to know, so that those involved understand why you have come to the decision you have. Also make sure that any sanctions you apply are justifiable and proportionate.

DON'Ts:

• Don’t cut corners – make sure it’s clear on the face of it that you have been transparent throughout. Even if you are concerned that the outcome of the investigation might put the organisation in a bad light, openness is the best strategy in the end.
• Don’t conduct any activities alone, especially interviews. Work out who could assist you and make sure two pairs of eyes are on the case, as this will help guard against any allegations of unfair treatment during the investigation.
• Don’t allow anyone to interfere with the investigation and ensure that only the person who requested the investigation is told about its progress. Don’t allow anyone else to have this information, however highly placed or interested in the outcome they may be.
• Don’t take the risk that the employee could claim to have been badly treated during the investigation and don’t ignore signs that s/he might do so. Listen to what the employee is saying and take on board the information you are given.

*Raczkowski