Checklist For Conducting Internal Investigation printable pdf download

Checklist For Conducting Internal Investigation

Checklist for Conducting Internal Investigation

Yes

Have you received a formal complaint, or do you suspect or have

informal knowledge that an informal misconduct has occurred?

If yes, initiate an investigation.

Consider consulting with an attorney:

To discuss strategy for investigation

To review proposed questions

To ensure laws, policies, procedures met

Is there a need for precautionary measures (e.g., safety concerns,

continued misconduct)?

If yes, take immediate action.

Place accused on immediate leave with pay

Temporary transfer

Changed supervisory responsibilities

Identify potential witnesses.

Create an investigation file that includes the following:

The investigation plan

Documentation of what investigative steps have been taken, when and

by whom

Explanation of any significant departures from the investigation plan

Copies of documents, photos and other hard evidence

Witness statements and notes of witness interviews

The final investigative report

Gather pertinent documents, including:

Personal file of accused, which may identify any past complaints and

outcomes or possible motives

Company policies, directives or contract provisions that may apply

Other relevant documents (e.g., attendance records, production

records, customer order forms, etc.)

Retrieve e-mail, if permissible (including deleted e-mail).

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Checklist For Conducting Internal Investigation