1. Fact Finding and Investigations
Presented by The Training Tree
Developed For FPHRA 2015

2. Levels of Training Entry Level Supervisory Training
More Advanced Supervisory and Managerial
Specific Training For HR and Employee Relations Professionals

3. Types Of Initial Fact Finding Done By Supervisors
Misconduct (policies, customers, etc.)
Time/Attendance issues
Dishonesty/Fraud
Misuse of assets (PC, credit card, vehicle, property, etc.)
Substance abuse
Harassment
Safety violations
Conflict of interest
Insubordination

4. Before Doing Fact Finding Keep Your Chain of Command Informed
Alert your manager-Incidents that are escalated will require immediate management action such as:
Theft
Bullying
Retaliation
Harassment
Discrimination
Sabotage
Gross Safety violation
Violence/Threats
Drugs/Alcohol while working

5. Your Role As A Frontline Supervisor
Find Facts
Do Initial Interviews
Collect Statements
Compile Information
Start Documentation

6. Not Your Role As A Frontline Supervisor
Deciding Actions
Taking Discipline
Making Promises
Making “off the cuff” comments

7. Purpose of Fact Finding
Gather the relevant information.
Obtain the employee’s side of the story.
Consider any extenuating circumstances.

8. Purpose of Fact Finding
Determine the applicable policies/laws violated (County/Department/Division).
Gain information to aid in determining the appropriate action that will eventually be taken.

9. Immediate Action To Take Before Any Fact Finding After An Incident
Separate involved parties
Preserve evidence
Note potential witnesses
Stop any misconduct
Insure safety of all parties
Inform chain of command

10. Focus Your Fact Finding On Simply The Facts
What happened?
Who was involved?
When did it happen?
Where did it happen?
How did it happen?
Why did it happen?

11. Focus Your Fact Finding On Simply The Facts
Were there any witnesses?
Was the incident discussed with anyone?
Is there any documented evidence?
Are there others who have same concern?
Determine how you are going to document the interview?

12. Let’s Create Your Fact Finding Checklist
Plan your strategy
Review rules/regulations governing incident
Identify potential risk factors (protected class, retaliation, physical harm, etc.)
Interview logistics (where, when, who)
Start confidential file

13. Let’s Create Your Fact Finding Checklist
Your Resources
Personnel records
Electronic records
Direct observation
Eye witnesses
Previous reports
Past appraisals
Past disciplinary actions
Interviews
Physical evidence (view site if needed)
Prepare your questions for your witnesses

14. Documentation Facts, no emotions-no judgments Objective
Legal defense in mind
Facts, no emotions-no judgments
Objective
Clear and complete
Visual aids (diagrams, pictures, etc.)
Documents, s, voice mail
Statements from witnesses
Begin Interview Form

15. Who Are Your Witnesses?
Those who have first hand knowledge of the incident or are directly involved
Those named as being involved by the complainant or other witnesses
Those who the employee asked you to interview
Those who worked with the employees and may have observed something similar in the past

16. Your Behavior When Asking Fact Finding Questions
Be fair
Don’t jump to conclusions
Paraphrase and repeat back often
Note areas of agreement and disagreement
Don’t interrupt
Asking Questions
Start with “easy” questions
Get facts chronologically

17. Your Behavior When Asking Fact Finding Questions
No leading, loaded or accusatory questions
Don’t ask compound questions
Begin with open-ended questions
Narrow focus, when necessary, with closed questions
Use your silence as a tool

18. Prepare Your Questions
Prepare questions for the interview as follows:
Prepare a list of general questions.
Move to more narrow questions about issue.
Ask questions that will give you relevant facts.

19. Prepare Your Questions
Ask open ended questions.
Ask who, what, when, where, why, and how.
Ask tough questions but
save them for last.
Always ask, “Is there anything about this issue that you feel I need to know but did not ask?”

20. Conduct The Interview Put the employee at ease.
Put the employee at ease
Go over a prepared statement about the investigation, why it is being done, and not to discuss this with anyone.

21. Conduct The Interview
Be prepared to respond to their questions. Example:
(a) What are you investigating?
(b) How will you use the information I give you?
(c) Is this confidential?
(d) Will I get in trouble by talking to you?
(e) Am I being investigated?

22. Documenting The Interview
Take detailed notes
Take a statement from the witness-usually an incident report signed by the witness will suffice.
Notes, statements, and answers to a questionnaire all can get you good witness information. Have these signed.

23. Interviewing a Complainant
The complainant is usually the first person interviewed.
Obtain as much factual detail as possible.
Determine how the alleged inappropriate conduct affected the complainant.
Ask how the alleged complainant felt after the alleged instances of improper conduct.
Do they feel they need additional counseling?
Determine the type of relationship between the parties involved.

24. Interviewing The Alleged Perpetrator
Explain that you are getting the initial facts and that they will not be presumed guilty.
Emphasize that the truth is very important and they must cooperate with you in getting information concerning the incident.
Expect some defensiveness.
Inquire about each instance and aspect of the complaint and note areas of agreement and disagreement between the parties.

25. Concluding Your Fact Finding Interviews
When concluding your interviews ask the following:
“Anything else I need to know?”
“Who else can confirm what happened?”
Remind them not to discuss with others
Retaliation-Discuss this issue
Let them know they may be contacted again
Thank them for their time and cooperation
Have them sign the Interview Form with the notes
Attach any other documentation to the form before escalating up chain of command I

26. Alice and the Mailroom Case 1
Alice was the new employee working for the City Clerk in the City’s mailroom. She was very nice to male employees that entered the mailroom but barked orders and otherwise intimidated female employees that came into the mailroom. She passed crude and derogatory comments to numerous female employees when they would mail packages or pick up their inter-office mail. The Clerk took a vacation day on Friday and when she returned on Monday three women from other departments met with her as a group to complain about Alice. I

27. Alice and the Mailroom Case 1
As the City Clerk -What steps are you going to use to fact find in this incident?
Who will you inform?
Write out the questions you will ask of the witnesses and for Alice? I

28. The Missing Equipment Case 2
An old mower and an edger are missing from Public Works. Nobody can remember when they last saw the equipment. Juan and Jasper come and tell you that they saw Phil and Alex, two service workers, loading it in Alex’s pick-up truck two weeks ago. You know that Jasper and Juan do not like Alex and Phil. You also know that Juan and Jasper have there own lawn business that they work after hours and on the weekend. I

29. The Missing Equipment Case 2
As the PW Supervisor what preparation will you do before questioning witnesses?
Who will you inform?
Write out the questions you will ask of the witnesses and for the alleged perpetrators Alex and Phil. I

30. Our Final Checklist For Fact Finding-Let’s Review
Find Facts-Not Make Judgments
Separate Involved Parties-(if applicable)
Preserve Evidence
Note Potential Witnesses
Stop any Misconduct (if applicable)
Insure Safety of all Parties (if applicable)
Alert the Chain of Command
Create your Fact Finding Checklist

31. Our Final Checklist For Fact Finding-Let’s Review
Start Your Documentation File
Plan Your Questions
Listen Take Notes
Ask the Questions
Get the Facts-Statements
Secure Witness Documentation
Move Package of Information Up The Supervisory Chain