adminMy article will be based on a book written by Bruce Hamm, an organisational ethics expert.
Hamm came up with what he termed the “Ten simple rules for conducting ethics investigations”.
As suggested, investigating unethical practices in the workplace can be quite complex and fraught with potential risks and pitfalls which maybe of both legal and human nature.
An ethics investigation is thus permissible only where an organisation has a clear and well documented ethics management framework that serves as the internal benchmark and referral point for executing the investigation.
It should also have the means through which possible litigations and complaints can be handled. Below are the do’s and don’ts of conducting the ethics investigation.
Plan and where necessary get help
The first thing to do is to determine who you should interview and secure as much professional help as you would need to successfully execute the investigation.
Prepare the questions you will use on key suspects and witnesses, and be open enough to add other potential witnesses and questions as the investigation progresses.
The investigation must be conducted discreetly and carefully by planning the entire process and being clear on your approach.
Getting to the truth about what happened on cases of unethical conduct can sometimes be extremely difficult so proper planning is paramount.
It is very important at the planning level to have a bird’s eye view at the scope of the investigation and identify areas you would need subject matter experts whom you can then use to achieve a good investigation.
For example, you may be an human resources expert when the investigation will involve going through complex financial statements, which means you should engage the services of an expert in financial accounting to make good of your investigation.
Ask open-ended questions
Asking appropriate questions will get the best results. When interviewing potential witnesses or suspects, ask questions that will get them talking.
Asking yes or no questions will not get you the required results. Instead, you should ask questions like, “Tell me about your relationship with the rest of your team members”, or “What more can you tell me about what you saw?”
Do not put words in the interviewee’s mouth
In an investigation, do not allow yourself to get involved in “pre-answering” the questions you need to ask the suspect or witness.
Asking a witness a question like, “Did you see John put his hand on Jane?” presupposes that something actually happened and uses your words instead of his/hers to describe what happened.
A better way to ask for this same information would be, “What, if anything, did you see happen when John and Jane were in John’s office?”
Don’t stop asking questions too early
Keep asking questions until you are sure you have as much usable information that you would require.
If you believe there is something important that someone can tell you, keep asking questions that will get those answers until you are sure you have done as much as you should.
Another good question to ask in this regard is, “Is there anything else you can provide me that would help in this investigation?”
This would allow a witness to produce documents, other witnesses, or other corroborating evidence of the suspected misdemeanour.
Do not show any indication that you doubt their story
Witnesses want you to believe their story whether it is true or not. Do not give them an excuse to stop talking by indicating you do not believe what they are saying.
Any sign that you do not believe a witness or that you discount their story will give that witness an excuse to cease co-operating. In other words, badly handling a witness can make them dry up and you will get nothing further from them.
Report facts not opinions
Focusing on the facts of the matter is critical to a successful ethical investigation. When writing the report after an interview, focus on what the person said and be sure to report only those facts that the person witnessed.
Including the witness’ opinions or what they heard from someone else can get you into trouble both in trying to determine what really happened and if the witness or the suspect legally challenges your final decision.
Verify statements as discreetly as possible
Attempt to verify discreetly whatever witnesses tell you about what they saw or heard. Look at entry logs, sign-in logs, computer reports, other witness’ statements or anything that will help you corroborate statements.
Check every possible source of information
Do not be shy about examining any legitimate resource for more information. Look in computer files and emails, check in desks, or storerooms, check voice mail and phone records, and review video surveillance tapes to find whatever you need to investigate a report of an ethics violation.
Check with the in-house legal officer about what is legal in your state and what is not to be sure you don’t overstep.
Never lie to the interviewee
Lying to witnesses can be just as bad as unwittingly playing other phony games with them because it will destroy a good relationship. If they ask how, who or why someone delivered a report or what someone else said, simply state that you cannot reveal anything about the investigation for now.
Maintain information confidentiality
Information gathered during investigations must be treated with the strictest confidentiality and you should make certain the dignity of everyone involved in the investigation is not compromised to ensure a continuing healthy ethics environment in the organisation.
Bradwell Mhonderwa is an Ethics Coach and Trainer with the Business Ethics Centre. Send feedback to [email protected], [email protected], or call 0772 913 875
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