Written by kristy grant-hart, CEO of spark compliance
Imagine for a moment that you’ve been called into the investigator’s office for a meeting.
You don’t know what it’s about, so you’re nervous.
You find out that there has been a report made about you.
Your mind rushes. Your face flushes. Depending on your temperament, you may feel furious, anxious, vengeful, nauseated, terrified, victimized, or all of the above.
Your mind begins to race. Questions pour through – who reported this? Why did they do this? What was I accused of? Am I going to be fired? If I am, how will I pay my rent or mortgage? What’s going to happen to me? What will I tell my family?
This is a fraught time, nearing panic you may not absorb vital instructions and information from the investigator.
Now, let’s flip back to your compliance role. That of the investigator. This is where this new best practice comes in.
Create an Investigations Process Infographic
Ellen Hunt, (the one-of-a-kind, awesome, Principal Consultant at Spark Compliance) came up with this great idea.
During the conversation with both the accused and anyone in the investigation, hand out an infographic describing the investigations process.
There are many benefits to handing out this document.
First, it’s tangible, so there is something to focus on and walk through. Having a visual also helps guide the conversation. Investigators without a great deal of experience may be nervous or uncomfortable leading someone verbally through the process. Written material keeps the conversation on track. Additionally, since many people are visual learners, viewing the process as a whole is helpful.
Next, individuals can take the infographic away with them so they can review it when they are calmer and readier to process information. Having a concrete roadmap describing what will happen next calms people and helps manage their discomfort about the experience.
Lastly, having a pre-existing document describing what happens next makes the process seem more regulated and less arbitrary and capricious. If the participant isn’t well informed about what will happen next, they may feel more victimized or insecure about the experience. The infographic shows that there is a system in place that others have gone through, and they can rely on.
Supplement with an FAQ Document
Depending on the size and detail of your infographic, you may want to have a supplemental FAQ document that goes in-depth in explaining each phase of the investigatory process.
An FAQ document allows you to go into detail about various scenarios rather than simply pointing out the phases of the investigation. It allows you to describe various outcomes with more specificity.
Make these Documents Available on the Intranet
The very best practice is to have the Investigations Infographic and supporting FAQ posted to the Compliance and Ethics homepage, another page on the company intranet, or internally publicly available.
The Investigations Infographic and supporting FAQ shouldn’t be brought out only during an investigation. If they are publicly available, it will make the process seem more just because everyone can find out how it works, even if they aren’t involved in an investigation.
What to Include
Use this handy checklist to determine which elements to include in your Investigations Infographic and/or FAQ.
With these materials on hand, you’ll make everyone more comfortable and confident.
➡️ Overview of the process:
o Document collection
o Interviews
o Determination of whether the accusation is substantiated
o Determination of disciplinary action if required
o Report
o Revise policies, procedures, or training as needed
➡️ Instructions for the participant
o Don’t discuss the investigation with others
o Don’t destroy any documents or delete emails
o Tell the truth
o Don’t retaliate
o Don’t pre-decide whether the accused is guilty or innocent
➡️ How often to expect communication from the investigation team
➡️ How to report additional information
➡️ FAQ:
o What happens if the allegations are substantiated?
o What types of disciplinary actions may be imposed?
o What do I do if I think I’m being retaliated against?
o Where do I go for additional information?
o How long will the investigation take?
Spark Compliance provides in-depth training workshops for investigators and investigation teams. We also create investigations policies and procedures, and aid companies in the implementation of hotline and investigations-related software.
Contact me at kgranthart@sparkcompliance.com to find out more about how we can make your investigations process more effective.
