Conducting Effective Investigations

Beth CoonanBrownWinick

666 Grand Avenue, Suite 2000Des Moines, IA 50309-2510

Telephone: 515-242-2408Facsimile: 515-323-8508

E-mail: coonan@brownwinick.com

Guiding Principles of a Successful Investigation

• Thorough

• Independent/Neutral

Organization

• Catalog all documents

• Catalog conversations

• Retain all items in a secure location

• Be consistent

Structure

• Determine the appropriate scope

• Determine how you will gather evidence

• Determine how you will conclude the investigation

• Determine how you will record the results

Scope

Are you going down a rabbit hole?

Sabotage

• Documentation Problems

• Interviews

• Promise of Confidentiality

• Delay

• Failure to Remain Neutral

Conducting the Investigation

• Transparency

• Make a Checklist

• Take Notes

Before the Interview

• Identify yourself

• Identify the purpose of the interview

• Indicate how you find yourself as the investigator

• Neutrality

• Documentation

Confidentiality

The NLRB found in the Banner Health Systems case that a confidentiality

instruction was a violation of Section 7 of the National Labor Relations Act.

Respondent

Give the Respondent a full and complete opportunity to provide a meaningful

response to all allegations

Your File

• Tell the Story

• Be Consistent

• Be Organized

Outside Investigations

• History between party and HR Manager

• Complaint involves HR Manager

• Complaint involves C-Suite Executive

• Timing/Size of Investigation

Website: www.brownwinick.comToll Free Phone Number: 1-888-282-3515

OFFICE LOCATIONS:

666 Grand Avenue, Suite 2000Des Moines, Iowa 50309-2510

Telephone: (515) 242-2400Facsimile: (515) 283-0231

616 Franklin PlacePella, Iowa 50219

Telephone: (641) 628-4513Facsimile: (641) 628-8494

DISCLAIMER: No oral or written statement made by BrownWinick attorneys should be interpreted by the recipient as suggesting a need to obtain legal counsel from BrownWinick or any other firm, nor as suggesting a need to take legal action. Do not attempt to solve individual problems upon the basis of general information provided by any BrownWinick attorney, as slight changes in fact situations may cause a material change in legal result.