In yesterday's Advisor, we offered attorney Jennifer Brown Shaw's suggestions for—and warnings about—internal investigations. Today, Shaw's 10 steps required for a good investigation, and an introduction to a unique checklist-based audit program.

Shaw is a partner in the law firm of Shaw Valenza LLP in Sacramento. Her comments came during the Society for Human Resource Management Annual Conference and Exposition, held recently in San Diego.

Shaw identifies 10 steps in a good investigation:

  1. Prepare an investigative work plan
  2. Review the applicable documents
  3. Interview the complainant(s)
  4. Interview the witnesses
  5. Interview the respondent(s)
  6. Conduct follow-up interviews
  7. Conclude the investigation
  8. Prepare the investigative report
  9. Prepare the investigation file
  10. Submit the investigative report

Closure Is Critical

After the investigation is complete, the complainant and respondent should receive a "closure" letter. Failure to send a "closure" letter may result in the tolling, or suspension, of the statute of limitations in some states.

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After the Investigation

Even after the final report is turned in and closure notes sent, your job is not over, says Shaw. Consider the following:

  • Continue monitoring the workplace
  • Take steps to prevent retaliation
  • Follow-up with the complainant periodically

Key Points to Remember When Preparing the Investigative Report

Finally, says Shaw, keep these points in mind as you do your reports:

  • Your credibility/reputation is at stake. Do not stretch the truth, add "spin," etc.
  • The report must be clear and concise. Write simply.
  • The report must be "complete." That is, everything relevant should be included in the report binder.
  • Think quality, not quantity or speed.
  • Do not reach legal conclusions. Ever. No matter what.
  • You are telling a story. Do not leave the reader guessing. Use your internal resources for review, etc.
  • Always do your best work!

Investigations, discipline, terminations—none of them are pleasant. How to cut back on those difficult chores? An HR audit. It's the only way to make sure that employees in every corner of your facility are operating within policy guidelines. If you're not auditing, someone violating policy right now.

But for most HR managers, it's hard to get started auditing—where do you begin?

To get your audits going, BLR's editors recommend a unique product called HR Audit Checklists. Why are checklists so great? Because they're completely impersonal, they force you to jump through all the necessary hoops one by one. They also ensure consistency in how operations are conducted. That's vital in HR, where it's all too easy to land in court if you discriminate in how you treat one employee over another.

HR Audit Checklists compels thoroughness. For example, it contains checklists both on Preventing Sexual Harassment and on Handling Sexual Harassment Complaints. You'd likely never think of all the possible trouble areas without a checklist; but with it, just scan down the list, and instantly see where you might get tripped up.

Find problems before the feds do. HR Audit Checklists ensures that you have a chance to fix problems before government agents or employees' attorneys get a chance. Try the program at no cost or risk.

In fact, housed in the HR Audit Checklists binder are dozens of extensive lists, organized into reproducible packets, for easy distribution to line managers and supervisors. There's a separate packet for each of the following areas:

  • Staffing and training (incorporating Equal Employment Opportunity in recruiting and hiring, including immigration issues)
  • HR administration (including communications, handbook content, and recordkeeping)
  • Health and safety (including OSHA responsibilities)
  • Benefits and leave (including health cost containment, COBRA, FMLA, workers' compensation, and several areas of leave)
  • Compensation (payroll and the Fair Labor Standards Act)
  • Performance and termination (appraisals, discipline, and termination)

HR Audit Checklists is available to HR Daily Advisor readers for a no-cost, no-risk evaluation in your office for up to 30 days. Visit HR Audit Checklists, and we'll be happy to arrange it.

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