List and briefly describe the steps to conducting an investigation of misconduct. Then, describe the three possible conclusions that can be drawn upon completing such an investigation

Question

What will be an ideal response?

Answer 1

Answer:
As discussed in the text, the steps are:
1. Determine the appropriate individual to investigate. Serious issues may require human resources or legal counsel. Day-to-day operational and performance issues will likely require the manager to investigate. If the manager cannot be impartial, however, he or she should defer to another manager.
2. When possible, obtain a written complaint. This is always preferable, but is not required. A manager should investigate the matter even if no written complaint is obtained.
3. Interview the complaining or aggrieved person. The manager should get the basic facts, including dates, times, and behaviors that the employee found to be offensive. Typically, this will involve misconduct by another employee.
4. Notify the appropriate parties regarding the complaint. The complaint may involve employees who are supervised by another manager, so the investigating manager will want to notify and coordinate investigation activities with that manager. Appropriate senior managers, human resources, and legal counsel may need to be notified. The alleged perpetrator also has a right to be notified.
5. Interview the alleged perpetrator. Obtain the facts from his or her point of view. Assure the individual that no conclusions have been drawn at this point in the investigation.
6. Interview relevant witnesses. To the extent witnesses were involved, interview them, but limit your questions to matters of which they may have information. Do not divulge more about the complaint than required to get the information you need. Request that witnesses maintain confidentiality.
7. Obtain all relevant physical and electronic evidence. Request this information from the parties and witnesses.
8. Evaluate the evidence. Consider whether the evidence supports the complaint and whether it demonstrates that a policy was violated. Consider issues such as credibility and motive when evaluating witness and complainant statements.
9. Reach a conclusion and take appropriate action. The three possible conclusions are:
(1) The employee violated the policy. The parties should be notified of the outcome and appropriate discipline should be issued.
(2) The investigation was inconclusive. Although a violation may have occurred, evidence does not substantiate this one way or the other. No discipline should be issued, though the parties may be reminded that the alleged misconduct would be a violation if it did occur.
(3) No violation has occurred. Evidence does not support a finding that a violation occurred. No adverse consequence should befall the accused party.