SEA Investigations Workshop Session 7 - Review and Action Planning
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Transcript of SEA Investigations Workshop Session 7 - Review and Action Planning
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8/3/2019 SEA Investigations Workshop Session 7 - Review and Action Planning
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Review
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Confidentiality
Anonymity Safety and welfare
Professional care and
competence
Thoroughness
Independence
Planning and review
Respect for allconcerned
Timeframes
Working in
partnership withothers
National authorities
Key principles
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1. Receive allegations
2. Decide whether to investigate
3. Plan the investigation
4. Gather and study background material anddocumentary evidence
5.
Revisit investigation plan6. Interview witnesses
7. Write investigation report
8. Conclude the investigation
Stages of investigations
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Gathering Information
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Testimony (including that of experts)
Information about the subject of the complaint(SOC)
Information about complainant; victim and
witnesses documentation
Previous complaints Research
Examination of locations
Gathering information:sources of information
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Written complaint
Application for post and previous history
Personnel/HR information
Previous complaints against subject
Information previously given in similar incidents
about/by others Previous statements made by witnesses
Information relating to policy and/or procedure
Logs/rosters, stockpiles, photos, emails, etc.
Gathering information:documentation
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Timelines
Personnel knowledge Employment status (during and prior to current
post if possible)
Personnel file
Interview
Behaviors
Gathering information:info about SOC
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Interviewing Victims
and Witnesses
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Phase one establishing rapport
Clarify purpose Explain ground rules
Engage witness
Interview stages
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Phase two free narrative account
Victims/witnesss account of relevant events Investigator acts only as facilitator, not
interrogator
Interview stages
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Phase three questioning
U
se simple, appropriate questions that follow thissequence:
Open ended
Specific
Closed
Leading (last resort only!)
Interview stages
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Phase four closure
Summary
Answer any questions
Advice and next steps
Thank you
Return to rapport and neutral topics
Interview stages
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The Investigation
Report
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Address evidence that supports or refutes thecomplaint (where it exists)
Evaluate evidence against specific stipulationsof your organizations code of conduct regardingSEA
Provide sufficient evidence to back conclusions
and findings Disciplinary action should be decided by the
senior HR staff or designated manager, not bythe investigator
Scope/purpose of investigationreport
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Executive summary (usually written last)
Introduction
Methodology
Analysis of findings
Outcomes and conclusions
Recommendations
Structure of the report
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Your policies, procedures,
protocols
SEA Investigations
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What modifications may be needed?
With whom will you discuss this?
How will the changes get done? By whom?
When?
Reflection & action planning:policies, procedures, protocols
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Related to investigating allegations of
SEAConsider Knowledge, Skills, Abilities
Confidence, Courage
Work environment (politics,personalities)
Support network
Personal reflection:your 3 greatest challenges
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Next Steps for this group
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