1. Getting the whole story in internal investigations
TEACHING PIGS TO SING:
Getting the whole story in internal investigations
Thomas M. Cunningham
Direct Number: (515) | Facsimile: (515) |
700 Walnut, Suite 1600 | Des Moines, IA | (515)
Attorneys at Law | Offices in Des Moines, Ames and Cedar Rapids
©2014 Nyemaster Goode, P.C.

2. Pre-Investigation Issues
Have an effective complaint process
Train supervisors how to respond to initial complaint and recognize it for what it is
Know when to conduct an investigation
Know what kind of investigation to conduct
©2014 Nyemaster Goode, P.C.

3. Immediate Action Gather the relevant documents
Get IT involved - - and social media have changed the nature of investigations
Interim steps pending the investigation
Potential criminal misconduct
©2014 Nyemaster Goode, P.C.

4. Selecting the Investigator
Prompt action is critical / have the
investigator designated before the crisis
Credibility is key: do not choose one of
the players or someone closely
“aligned” with a player as the investigator
Be objective --- Jack Webb
©2014 Nyemaster Goode, P.C.

5. Selecting the Investigator
Supervisors are rarely good investigators
Outside investigators
Attorney as investigator
Plan the investigation
©2014 Nyemaster Goode, P.C.

6. Investigator Characteristics
Thorough
Inquisitive
Able to distinguish between and among
personal, first-hand knowledge and hearsay
Tight-lipped; not a rumor-mongerer
©2014 Nyemaster Goode, P.C.

7. Goals Learn What Happened!
Let the witnesses talk – open ended questions
Don’t try to teach pigs to sing
Investigator will be required to make credibility judgments

8. Step One: Interview the Complainant
Provide another copy of the employer’s
anti-harassment/ discrimination policy
DO NOT PROMISE CONFIDENTIALITY
Ask open-ended questions, rather
than ones that can be answered yes/no
Go over the version of the events
several times during interview
Get a signed witness statement, if possible
©2014 Nyemaster Goode, P.C.

9. Step Two: Interview Witnesses
Interview the alleged perpetrator(s)
Interview identified witnesses and
persons with knowledge
Follow the steps and use the techniques
employed while interviewing the complaining
party
Conduct rebuttal and corroboration
interviews
©2014 Nyemaster Goode, P.C.

10. Step Three: Investigation Post-Mortem
Investigator should review facts with HR and/or
senior management and employment counsel
Check for consistency in techniques,
conclusions, and decisions
Have all relevant facts been obtained and
documented?
Have all persons affected been given an adequate
opportunity to give their side of the story?
©2014 Nyemaster Goode, P.C.

11. Step Four: Conclusion, Discipline
The investigator has additional duties if he or
she concludes that harassment has
occurred. These include remedies and
discipline, in conjunction with senior
management and counsel.
At each stage of the investigation, the
investigator is always seeking the
opportunity to learn more.
©2014 Nyemaster Goode, P.C.

12. Concluding the Investigation
Consolidate the paperwork
Document the nature and date of the report
and the parties involved
Memorialize all steps taken, including that
the alleged harasser was confronted with the
allegations and given an opportunity to
respond fully
Results of the investigation, including
remedies provided and discipline taken
©2014 Nyemaster Goode, P.C.

13. Questions?
©2014 Nyemaster Goode, P.C.