Ethics Investigation Guidelines

Undertaking an ethics investigation is a highly sensitive task that requires delicacy and attention to detail. The success of an ethics investigation relies on careful planning and confidentiality, requiring you to be prepared but flexible in terms of adjusting your approach. Information uncovered may call for added steps in your investigation that were previously unknown to be necessary. Here are some guidelines to ensuring a successful ethics investigation:

  1. Ask an expert. It is wise to seek professional advice when conducting an ethics investigation, consulting an expert on specifics of your investigation that you may not be aware of. Experts will have an extensive knowledge of the questions you need to ask and answers you should receive.
  2. Keep your questions broad. Asking questions that are too specific or simple will lead to limited answers. By asking broader questions that require a longer or more detailed answer, you allow witnesses or suspects to reveal more information that might be relevant.
  3. Try not to lead the interviewee. Be cautious not to suggest answers when asking questions, as this can influence the person in question. Questions should be un-biased.
  4. Keep asking questions. When it seems that there is more to be told, try to coax it out of the person being interviewed to allow a complete account of information to be shared. If it appears that an interviewee might have more to say, allow them to do so as it might be beneficial to your investigation.
  5. Be un-biased when interviewing witnesses. Try not to reveal your personal opinion of their statement, as a negative response could discourage further cooperation and sharing of information.
  6. Only include the facts. Anything non-factual can contaminate the validity of the investigations. Opinions are not relevant to your investigation and should thus not be included in your report. There can be legal implications for including anything but facts.
  7. Attempt to fact-check the statements. In order to validate the results of your interviews, it is important to check the facts provided to ensure they are true. This can be done through comparing statements or doing research, but must be done confidentially to ensure the integrity of the investigation.
  8. Perform a thorough investigation. You should attempt to be as thorough as possible by doing the necessary research within your given boundaries. With permission, check company files and emails that may be relevant to your investigation. Do so, however, with the advice of a legal expert that can verify if your actions are legal.
  9. Abandon theatrics and cheap tactics to gather information. An ethics investigation should be conducted professionally and a good relationship with the interviewee is essential to the success of this investigation.
  10. Do not lie. Lying in an investigation can cause unnecessary conflict with interviewees and a lack of trust will lead to a lack of cooperation. If you are asked a confidential question, it is best to state that it is as such.

An ethics investigation is highly sensitive and should not be taken lightly. Following the correct steps will ensure that the investigation is not only painless but successful.

About Prof Janek Ratnatunga 1129 Articles
Professor Janek Ratnatunga is CEO of the Institute of Certified Management Accountants. He has held appointments at the University of Melbourne, Monash University and the Australian National University in Australia; and the Universities of Washington, Richmond and Rhode Island in the USA. Prior to his academic career he worked with KPMG.