GUIDE TO

CONDUCTING
FACT-FINDING
INVESTIGATION
 Preliminary investigation

 Preliminary investigation is essentially a

judicial inquiry since there is an
opportunity to be heard, the production or
weighing of evidence, and a decision
rendered on the basis of such evidence. In
this sense, the investigating officer is a
quasi-judicial officer.
Purpose of a Fact-Finding
Investigation:
 To secure the innocent against hasty, malicious,
and oppressive prosecution and to protect him
from an open and public accusation of a
violation of a law, and from the trouble,
expense, and anxiety of a formal charge.

 To protect the Organization from having to

conduct useless trials.
Basic Principles:
 Confidentiality
 Proper Mindset
 Professionalism
 Independence
 Competence
 Objectivity and Impartiality
 Timeliness
BEST PRACTICES:
 Investigators must be fair and objective.
 Treat everyone involved in an investigation with
respect and dignity.
 Using proper terminology is important in
investigation.
 Do not pre-judge the outcome of an
investigation before all the witnesses have been
interviewed and all the relevant documents have
been reviewed.
BEST PRACTICES:
 Avoid giving the investigation an
appearance of bias or partiality to a
particular person or result.
 An interview is no place for JOKING,
SARCASM, or THREATS.
 Never stoop to undignified tactics.
BEST PRACTICES:
 Do not try to impress the witness.

 Do not reveal what you know about the relevant facts. If this happens, you
are in effect telling them what you do not know.

 Never expect an admission in an interview.

 PROTECT THE CONFIDENTIALITY of the investigation. Not every report is

substantiated. Some investigation is closed without the need to discipline
anyone involved.

 Impress upon the person being investigated, it may be the witnesses or the
person complained of himself, the need for confidentiality.

 Documents should be safeguarded against inadvertent disclosure, most

specially the personal information as it may violate the provisions of Data
Privacy Act.
INTERVIEW PROCESS
 It is important to have a PLAN and
EXECUTE that plan.
 MEETING THE
REPORTER/WITNESS:

 Determine who, what, where, when, why, and

how.
 Explore any surrounding circumstances such as
the relationship between the reporter and the
subject, possible motives or biases.
 Request any relevant documents.
OTHER CONSIDERATIONS:
 Create a comfortable setting that would
encourage candid disclosures.
 Gain and continually control the discussion.
 Explain briefly at the start of the investigation
what is going on and what is expected of the
witness because it is understandable that the
witness may be nervous or apprehensive.
OTHER CONSIDERATIONS:
 The interview should be focused on the specific
misconduct at which the investigation is aimed.
Transforming the investigation into a wide-
ranging inquisition into all possible areas of
misconduct is counterproductive.

 Use a non-confrontational approach.

 Do not expect a witness to have an exact

recollection of events that occurred sometime
ago.
OTHER CONSIDERATIONS
 Ask open-ended questions.
 Ask short, simple questions.
 Silence is a great technique.
 Avoid doing anything that might be taken as an
attempt to influence the witness’ answer.
 Actively listen.
 Observe body language and physical activity.
REPORTING YOUR RESULTS
 An accurate written record of what the witness’
say is key to the integrity of the investigation.
 Draft a report shortly after the interview.
 Report must be factual.
 Use direct quotes whenever possible.
 Avoid expressing opinions because opinions can
be easily challenged.
FINAL REPORT
 The nature of the report and how it brought to your
attention.
 A summary of the relevant and material facts gathered
during the investigation.
 The people interviewed and the documents reviewed.
 Whether the report was substantiated or unsubstantiated
or the results were inconclusive. If substantiated, what
conclusions are supported by what was found.
 The identification of any issues that could not be
resolved in the investigation, if any.