When it becomes necessary to investigate possible fraud or misconduct within the workplace, it is important for the investigator to adhere to a uniform and well-documented process that is not only fair, but also creates the appearance of fairness, according to Meric Craig Bloch, vice president of corporate compliance for Adecco S.A. The process is more important than any single investigation,” Bloch said during a teleconference sponsored by the Health Care Compliance Association. “No matter how compelling the needs of the investigation seem, don't sacrifice your standards.” A fair investigation, conducted according to strict standards, ensures that findings can be defended and helps to maintain the confidence of employees.
In terms of identifying workplace problems and risk areas, business organizations may take a variety of approaches. Although some entities are content to post a hotline number and wait until a call comes in, Bloch recommended a more proactive approach that involves using existing channels of communication within the organization's departments. Bloch was quick to point out that although there are costs associated with conducting workplace investigation - in terms of time, money and lost productivity within the department that is being disrupted by an investigation - there are also risks involved with not looking into possible misconduct.
The first step in any workplace investigation, Bloch advised, should be conducting a thorough interview of the individual who reported the misconduct. The investigator should gather as much information as possible about the specifics of what occurred. “The report and the information you get from the reporter becomes your jumping-off point and you want as firm a foundation as possible,” Bloch said. The investigator should stay alert to concerns about confidentiality and try to give the reporter a level of comfort that he or she will not face retaliation. Based on facts supplied by the reporter, the investigator can begin to assemble the story behind the misconduct report. Whether the initial report becomes a full-blown investigation will hinge on whether the investigator finds probable cause; that is, (1) whether the investigator has a reasonable belief that misconduct occurred, and if so, (2) whether the investigator has a reasonable belief that the misconduct was committed by the persons who have been accused.
CCH Chicago Bureau, Oct. 30, 2008
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