Question

In: Operations Management

Need response as soon as possible. List and briefly describe the steps to conducting an investigation...

Need response as soon as possible.

List and briefly describe the steps to conducting an investigation of misconduct. Then describe the three possible conclusions that can be drawn upon completing such an investigation.

Solutions

Expert Solution

Steps to conduct an investigation of misconduct-

Step 1- Confidentiality to be maintained

This is the first and the foremost step before kick-starting the investigation of any misconduct. The employer should protect the information of the whistleblower for his/her safety.

Step 2- Provide protection for the victim

The next step is to separate the alleged victim from the accused to avoid any type of continued harassment. This can be done by providing transfers to a different state or city, leave of absence, etc.

Step 3- Selection of the investigator

This is a crucial step because the investigator should investigate without bias to prove the victim’s appeal. Skills should include strong interpersonal skills, working knowledge of the employment laws, attention to detail, should not prefer any kind of stake in the investigation, etc. The investigator can be a member of the management or from a legal counsel.

Step 4- Plan the investigation

A well planned investigation is half solved. An investigation should be planned well to be effective and executed correctly. A plan should include the details of the problem or misconduct, list of witnesses (confidentiality maintained), evidence, interview questions, etc. This documentation should be properly retained and stored with high security.

Step 5- Interview questions to be developed

The interview questions should be drafted and should be probing in nature. They need to draw out the facts rather than arriving at subjective conclusions. This step is very critical because the clues or the facts obtained from the interview questions helps the investigator to arrive at a decision.

Step 6- Interviews to be conducted

The investigator should inform all the parties concerned for the need for investigation and then explain the investigation process. The investigator needs to be unbiased and maintain a high caution level while stressing the confidentiality of the interview process. Also, harsh interrogation needs to be avoided. Any coercion would result in false confessions.

Step 7- Take a decision

Once the investigator completes the investigation thoroughly, the investigator should not jump to any conclusions immediately. Once the facts have been collected via the interviews the evidence need to be collected. These evidences should be evaluated and checked for its credibility. The investigator should make a final decision of any employment disciplinary action based on the investigation report. The investigator should consider the consequences first before deciding on the action of the misconduct.

Step 8- Closure of investigation

Once the investigator takes a decision, it should be communicated to the management. The employer should communicate the outcome to the complainant and the accused employee. The investigator should assure the complainant that the complaint has been seriously considered by the organization. The investigator should also ensure that the complainant is back to normal life. A follow up should be made frequently to check if the complainant has any other issues and that he/she settles in the environment comfortably.

Step 9- Written report

A detailed report on the investigation process needs to be maintained at all times. A good report should contain the below

  • Incident details
  • Parties involved in the event
  • Key findings
  • Policies and guidelines applicable for the investigation
  • Specific conclusions
  • Parties involved in taking the final decision
  • Issues that are not resolved
  • Employer takes action

Three possible conclusions that can be drawn upon completing such an investigation.

Once the investigation has been completed, three possible conclusions can be drawn upon such as-

  1. Sustained conclusion- An allegation has a sustained conclusion when the evidence is proved in support of the allegation of the complainant.
  2. Not sustained- An allegation is not sustained when the evidence does not satisfy any burden of proof.
  3. Inconclusive-The investigation leads to nowhere and the investigator is unable to determine either of the above two conclusions.

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