CEA Ethics Investigation Procedures 3 — Questions and Answers
Question 1: Why is it important to establish a written investigation plan before conducting interviews?
- To share the plan with the accused so they can prepare
- To ensure the investigation is systematic, objective, and legally defensible (Correct answer)
- To limit the number of witnesses who can be interviewed
- To satisfy union notification requirements in all cases
Correct answer: To ensure the investigation is systematic, objective, and legally defensible
A written investigation plan outlines scope, methods, and timelines, promoting consistency and providing documentation that the process was fair and thorough.
Question 2: Which behavior by an investigator would constitute an improper investigative practice?
- Taking detailed notes during witness interviews
- Promising a witness that their identity will never be revealed under any circumstances (Correct answer)
- Informing witnesses about the general purpose of the interview
- Reviewing relevant company policies before conducting interviews
Correct answer: Promising a witness that their identity will never be revealed under any circumstances
Investigators cannot guarantee absolute anonymity because circumstances (litigation, regulatory inquiries) may compel disclosure; promising it unconditionally is misleading.
Question 3: When documenting witness interviews, the best practice is to:
- Paraphrase extensively to make notes more readable
- Record verbatim quotes only when the witness says something harmful
- Create contemporaneous notes capturing questions asked and key answers given (Correct answer)
- Destroy notes once a formal report is finalized
Correct answer: Create contemporaneous notes capturing questions asked and key answers given
Contemporaneous interview notes form the evidentiary backbone of an investigation and must capture both the questions posed and the substance of responses.
Question 4: A manager discovers that a subordinate has been falsifying expense reports and wants to handle it informally to avoid embarrassment. An ethics investigator should:
- Defer entirely to the manager's judgment as the direct supervisor
- Advise that all credible allegations of policy violations require formal investigation (Correct answer)
- Allow informal resolution since the amount is small
- Recommend the manager simply warn the employee verbally
Correct answer: Advise that all credible allegations of policy violations require formal investigation
Ethics policies require consistent, formal investigation of credible violations regardless of the manager's preference or the perceived severity of the misconduct.
Question 5: What is the primary purpose of a 'Weingarten notice' in unionized workplace investigations in the US?
- It notifies the union before any employee is hired
- It informs a union employee of their right to have a union representative present during investigatory interviews (Correct answer)
- It grants the investigator access to union membership records
- It requires the union to approve the investigation before it begins
Correct answer: It informs a union employee of their right to have a union representative present during investigatory interviews
Under NLRA Weingarten rights, unionized employees may request union representation during investigatory interviews they reasonably believe could result in discipline.
Question 6: Which of the following is a sign that an investigation may be losing its objectivity?
- The investigator interviews both the complainant and the accused
- The investigator reviews documentary evidence before forming conclusions
- The investigator reaches a conclusion before gathering all available evidence (Correct answer)
- The investigator consults legal counsel during the process
Correct answer: The investigator reaches a conclusion before gathering all available evidence
Forming conclusions prematurely introduces confirmation bias, causing investigators to selectively gather evidence that supports their existing belief.
Question 7: After completing an ethics investigation, the investigator's final report should typically include all of the following EXCEPT:
- A summary of evidence reviewed
- Findings of fact based on evidence
- The recommended disciplinary penalty for each individual named (Correct answer)
- Conclusions as to whether a policy violation occurred
Correct answer: The recommended disciplinary penalty for each individual named
Investigators determine facts and draw conclusions, but specific disciplinary decisions are typically reserved for HR and management, not the investigator.
CEA Ethics Investigation Procedures 3
Why is it important to establish a written investigation plan before conducting interviews?