14 Investigations Best Practices Questions and Answers with Meric Bloch

Meric Bloch, Principal at Winter Investigations, is a trusted expert in the field of workplace investigations. That’s why we were so excited to host him for a three-part webinar series where he addressed common questions he receives from investigators.

The series (which you can watch on demand here) covered the three main investigation stages: receiving employee reports, doing the actual investigative work, and closing/finalizing the investigation. Below, you’ll find short, simple answers to questions about each of these stages. Read our investigations best practices Q&A with Meric to build your confidence as an investigator.

Managing Complaints & Reports

Creating a safe environment for employees to speak up with their concerns is essential to creating an ethical, successful organization. In the questions below, Meric explores how to handle these complaints effectively to protect both the reporter and your company.

What are the four core values investigators should follow?

Four core values that workplace investigators should always follow are:

1. Critical thinking, so you can make more strategic and tactical decisions
2. Empathy, so you can understand the perspectives of witnesses and participants to effectively gather information
3. Respect, ensuring you represent your organization in a positive way and maintain a professional demeanor throughout the investigation
4. Dignity, putting your focus on investigating the conduct rather than the person, and ensuring that individuals are not made to feel ashamed or accused without reason

Following these values ensures that your investigation is effective, thorough, and fair. Completing every step of the investigative process with these in mind will bring about the best outcome for the investigator, the organization, and the employees involved.

How can you encourage a speak up culture in your organization?

“If you want somebody to speak up, you have to have a an investigations process, and this is the intake part of the investigation process that is that makes them feel it’s safe to raise their hand,” Meric explains. “You make them they have to believe that it’s meaningful, that something is going to happen for the sake of speaking.”

In other words, simply having a reporting mechanism won’t promote a speak up culture. You have to show employees that you won’t tolerate retaliation, address every report in good faith (even if it doesn’t lead to a formal investigation), and have a clear and consistent complaint-handling process.

In addition, make sure your reporting process is intuitive and easy. The harder your mechanisms are to use and find, the less likely it is that employees will follow through on submitting reports.

How can investigators work with an incident reporter effectively?

To answer this question, Meric identified two common errors investigators make: taking reports at face value and being overly eager to make reporters happy.

For the first error, he explains that in order to successfully investigate, you must determine the reporter’s credibility and dependability. “How do they know what they know?” he asks. Gather as much background information from the reporter as you can before moving forward. This can help you avoid wasting time on a complaint that was made based on gossip or in bad faith.

Secondly, Meric wants investigators to remember their objectivity. “We were not their lawyers,” he explains. “We’re not here to advocate for the thing they want. We are not here to deliver a result that they want.” As investigators, “we do we promise our reporter fairness; we do not promise our reporter happiness,” he says. In short, don’t let a reporter bully you. Your job is to uncover facts, not promise them a certain outcome.

Is it always necessary to investigate a report/complaint? Why or why not?

The short answer: no. In fact, Meric estimates that only about 50 percent of workplace complaints should be investigated formally. Not all reports require an investigation; some can be resolved through other means, such as management interventions or employee training.

But how do you determine which ones to investigate? Meric reminds investigators that their job is to “pick the best resolution strategy . . . best means what is in the best interest of the organization and the people involved.” If you can’t determine that the report was credible, or if the complaint is low-risk for both the involved employees and the organization, you probably don’t need to waste resources investigating it.

How can investigators collaborate with other teams and departments across their organization?

Cases don’t often fit neatly into the purview of one department or another, which means investigators often have to collaborate with others in the organization. However, “you’re the quarterback. It’s your case,” Meric emphasizes. The investigator is responsible for managing the involved parties, other stakeholders, and data confidentiality. Collaboration will help you close the case faster and more smoothly, but you’re responsible for its outcome in the end.

Meric explains that investigators should ensure visibility into their processes, but not to the point that it interferes with their ability to close a case. Boundaries are also crucial to avoid conflicts of interest and to protect the often sensitive data you’re working with. Investigations are most effective when everyone involved knows their role and works within it.

When should investigators recruit external advisors for help?

Most organizations don’t have access to every type of expert in-house. When you don’t have the time or skills to complete an investigation effectively, you should consult with external advisors, such as forensic accountants or employment lawyers.

Don’t be afraid to delegate tasks; in fact, it can help you reach a resolution more quickly! Just be sure to guide external experts on the scope of the investigation and the objectives you want to achieve, Meric says. As with collaborating cross-departmentally, you are still responsible for the investigation, the “quarterback,” so work with your external helpers to ensure your investigative process is applied consistently with your fully internal investigations.

Conducting the Investigation

Now that you’ve decided to investigate, you’ll need to do the typical investigation work: gathering evidence, conducting interviews, and consulting internal policies. Below, Meric explains the importance of having and following strong processes for each task.

How can investigators ensure that they get the fundamentals of their investigation right?

Meric says that one of the most crucial errors he sees is when investigators focus on proving a story rather than investigating the allegation. “In other words, a reporter alleges these things had occurred and and were wrong or improper, and then the investigator picks it up, and off they go. . . That’s not the investigation. The investigation is you take the report, you then through a process of analysis and assessment,” he explains.

To ensure you get the investigative basics right, Meric suggests standardizing your processes as much as possible. Consult organizational policies and procedures. Have a set way of investigating a type of incident and follow it as closely as is reasonable. Taking an ad hoc approach not only wastes time and effort, but can lead to errors and inconsistencies, which in turn can result in employee lawsuits.

What is an investigation plan and why do I need one?

An investigation plan sets your team up for success. More than just a timeline or checklist, this document helps you figure out where you are trying to go and how you will get there. Here are the things Meric says an effective plan should be:

• Created with critical thinking and analysis based on your resources, the incident type, its severity, etc.
• A practical blueprint for proving (or disproving) each aspect of the allegation
• Flexible and adaptable based on new information or challenges
• Specific about what evidence you need to gather, who you need to talk to, what you’ll ask them, and an interview order

What do I need to do to prepare for a subject interview?

Whether they’re the accused person, the reporter, or even just a witness, employees might act resistant or fearful in their interviews. To combat this, Meric suggests doing lots of prep work before the meeting. Investigators should prepare themselves by having their full list of questions ready, as well as alternatives or courses of action if something goes wrong. To build rapport with interviewees, over-communicate with them both before and during the interview, providing explanations of what you’re doing and why every step of the way.

Investigators should also be ready to deal with a wide array of strong emotions. If you’re speaking to a potential victim, or if you notice the interviewee is emotional, approach them with empathy. While it’s your job to gather information, “the company [also] has a duty of care, and you have moral and legal duty to see if somebody’s struggling,” Meric explains. “You can’t just say, well, just the story, and I’m on my way.” Be prepared to connect the employee with HR if they need support.

How is virtual interviewing different from in-person?

In today’s world of more remote work than ever, it’s likely that at least one interviewee won’t be able to meet with you in person. As a result, you need to prepare your set-up and your questioning approach to be effective over a video or phone call.

First, Meric suggests tackling logistical issues. For instance, have a backup plan in case your first choice of technology doesn’t work (i.e., have the employee’s phone number as well as email/video contact). Next, set up your background to look comfortable and professional. Using virtual background is impersonal. A view of a large fancy room can be intimidating. Try to set yourself up in a cozy office with good lighting and privacy.

Next, be self-aware. Meric reminds investigators to be mindful of both the image they convey as well as their manner of interviewing. Don’t act cold, but don’t put on too casual a demeanor, either. Behave professionally but warmly, and ensure you’re flexible, as there’s almost inevitably problems with virtual meetings.

Finally, consider confidentiality. In an office, you can ensure you’re in a private, distraction-free space. However, with the limited view of a screen, the interviewee could be hiding a nervous tic, someone feeding them information off-camera, or even a recording device. While you can’t do much besides take the employee’s word that they’re following your agreed-upon rules, these are things to consider when conducting a virtual interview.

Finalizing the Investigation

After you’ve gathered all of the information you need, it’s time to conclude the investigation. You’ll need to collect your findings and recommendations into an investigation report and share it with stakeholders so they can determine next steps. Read Meric’s suggestions for how to finalize your investigations effectively below.

How can a good investigation report help the organization?

A final investigation report is a much-needed piece of documentation that can help you prove your investigation process and reasoning if you’re ever challenged by disgruntled employees or regulators. Your reports should be clear, thorough, and well-organized, containing involved parties, investigative steps taken (plus who took them and when), and supporting documents to provide a clear picture of the investigation.

While an investigation report is essential for organizations to make informed decisions and defend themselves in case of a lawsuit, they’re even more important for the investigator themselves. “The investigation report gives you the opportunity to showcase your value to the organization,” Meric explains. The report doesn’t simply exist to show what you did, he goes on, but to say “this is how I did it. This is how insightful I am.” Don’t view investigation reports as an administrative task, but, instead, a way to show that you know your stuff.

What are common mistakes when writing an investigation report?

An investigation report is such an important document, it’s crucial to get it right. However, time and again, Meric sees investigators making the same common pitfalls when writing their reports. These include:

• Adding conclusions or findings that are vague or not present at all
• “Data dumps” with no clear narrative
• Lack of harmonization between parts of the report
• Wrong language, tone, or information for the target audience
• Submitting the report too late

All of these issues make the investigator lose credibility and effectiveness. If you want to be seen as a strategic member of your organization, Meric suggests taking that extra time and care required to ensure your reports are as perfect as possible.

Once an investigation is complete, how do you share your recommendations?

First, Meric suggests being careful with confidentiality. If the details of your investigation are privileged, only the investigator and the lawyer (or whoever else normally has access in your organization) should see the full report. But that doesn’t mean you can’t share the implications with other stakeholders.

“One of the ways that I traditionally do it is, before I write the report, I meet with the key stakeholders,” Meric explains. “I walk them through what I found. And [say] ‘here’s what I think it means, and here’s what I’m going to conclude,.’ That lets them ask me any questions, [and] lets me in a very informal way elaborate.” This helps you share relevant information quickly so management can take action while still protecting confidentiality.

Finally, Meric suggests not sharing the report with the accused person. While you owe it to them to share the outcome of your investigation, because of the “reputation risk, [and] certainly defamation risk” that come with the subject reading the whole report, an in-person meeting where you discuss next steps is a safer bet.

How do you share investigation program data with stakeholders and what data should be included?

Sharing data from your investigative program is, again, a way to showcase your value to the organization. To keep stakeholders up to date, Meric suggests sharing a quarterly report, with your case volumes, geographical dispersion of cases, report-t0-employee ratios, cases resolved without investigation, corrective actions taken on substantiated cases, and your median closure times. If you want to include more qualitative information, you “may also list training or conferences that [investigators] have gone to or [articles they’ve] published,” Meric says

All of this information helps management see where they can send more resources (budget or investigators), where to implement corrective and preventive actions in the organization to avoid incidents, and how to manage investigators’ professional development.

How Case IQ Can Help

Investigate with confidence. Case IQ’s modern case management platform helps investigators:

• Be Efficient: Streamline investigations with automated, tailored workflows 

• Be Fair: Conduct consistent, policy-backed investigations 

• Be Proactive: Identify patterns in case data and suggest preventive measures 

Learn how you can conduct better investigations and prove your value to your organization here.

Important: This post is for informational and educational purposes only. This post should not be taken as legal advice or used as a substitute for such. You should always speak to your own lawyer.