- Consider the terms of reference. Does the employer wish to maintain privilege on the contents of the report.
- Request the complaint to put the terms of the issue in writing and to provide names of any relevant witnesses and to provide relevant documents which support or deny the complaint;
- Insure that the investigator is a third party neutral with no prior relationships with the accused and the witnesses;
- Consider the propriety of placing the suspected person on a paid leave of absence, defined as an administrative leave, pending the results of the investigation.
- Advise all persons to be interviewed, not just the accused, that a person who is found to be dishonest, unresponsive or misleading could result in termination for cause.
- Advise the complainant if the complaint is made in bad faith, repercussions could following, including a civil action for defamation and/or termination for just cause.
- Insure that the investigation is conducted within a reasonable time frame.
- If the contents of the report is to be privileged, retain legal counsel and insure that the mandate included providing a legal opinion upon the issues being investigated;
- Consider the identity of employees or other persons to be interviewed;
- Does the employer have a harassment or other policy which sets out the investigative process to be followed?
- Give notice to the employee suspected of the wrongdoing of the complaint and allow sufficient time for him or her to prepare for the interview;
- Prepare for the interviews in advance.
- Request those persons interviewed to keep the contents of the interview confidential;
- Determine if those persons interviewed have previously shared their recollections of the relevant events with one another;
- Keep notes of the interview including relevant details and date of the interview;
- Avoid asking questions which are leading. Ask open ended questions.
- Ask the person interviewed to review your notes and confirm the accuracy of same;
- Consider in the process of the interviews whether the contents reveal other persons who are apparently material to the issues;
- Following the interview with the complainant and relevant witnesses, then interview the accused person;
- Provide the accused person with a summary of the factual evidence as determined to date before the interview and include any relevant documents received by you to date. Ask him or her for any rebuttal documents before the interview takes place.
- Keep an open mind at all times. Avoid making a decision until the interviewing process is complete.
- Advise the suspected one that he or she has no obligation to remain in the room answering your questions, that is he or she is not under arrest. That being said, should he or she fail to be cooperative in the interview or mislead, he or she could be disciplined up to and including termination.
- Consider offering to the suspected one the right to retain legal counsel.
- If the employee declines to answer questions to the possibility of criminal charges, or quasi-criminal charges, consider and review Tober above prior to any decision.
- Prepare a report with a complete factual review and advice and recommendations. If cause allegations are considered, include a review of the relevant case law.
- Request the final decision maker to review not only the report, but all supporting documentation