Yesterday’s Advisor covered expert investigator and trainer DeDe Church’s tips for meaningful investigations; today, her 11 questions for evaluating an outside investigator.
Church (DeDe Church & Associates, LLC, www.dedechurch.com) offered her advice at the Employers Counsel Network Convention held recently in Austin, Texas. The Employers Counsel Network is comprised of the practicing attorneys from all 50 states who write BLR’s state-based Employment Law Letters.
Questions for an Outside Investigator
1) Please describe your overall approach.
[Being thorough without causing unnecessary disruption.]
2) Are you searching for policy violation, legal violation, or only to substantiate allegation?
[Usually only to substantiate/not substantiate allegation.]
3) How will you handle scope creep?
[Check with counsel/client before pursuing new allegations or talking to witnesses not previously mentioned.]
4) When/Who will invite witnesses to interviews?
[Usually company’s HR representative immediately before interview.]
5) Do you record interviews?
[Make sure the approach is in keeping with your company policy.]
6) Notes
Do you keep notes of conversations with counsel? [No.]
Do you read your notes back to witnesses before they leave their interview to ensure accuracy? [Best practice.]
If public agency, are you aware that your notes may be turned over under the Public Information Act?
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7) Do you talk with each witness about retaliation and confidentiality?
[Have your retaliation policy visible for witnesses. Discuss confidentiality per NLRB ruling.]
8) When you ask the complainant how he or she wants the situation resolved, what do you say if the person requests a pay-out of a certain amount? Will you then mediate between the parties?
[This could jeopardize the appearance of impartiality.]
9) Do you make recommendations?
[Not in an investigative report. The entire report could be undermined if the recommendations are not followed.]
10) Who will circle back with parties to tell them the outcome of the investigation?
[This usually should be done by HR or the internal manager.]
11) Are you comfortable testifying if necessary?
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- E-mail review. All e-mail is subject to review by management. Your use of the e-mail system grants consent to the review of any of the messages to or from you in the system in printed form or in any other medium.
- Solicitation. In line with our general policy, e-mail must not be used to solicit for outside business ventures, personal parties, social meetings, charities, membership in any organization, political causes, religious causes, or other matters not connected to the company’s business.
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Your suggestion on #6 relating to public agencies is confusing. To my knowledge, there is no PublicInformation Act. There is, however,a federal act; The Freedom of Information Act (FOIA) but it only applies to documents held by the federal government and does not reach down to states and political subdivisions.
Individual states and political subdivisions may have some sort of public records act that may require disclosure.