Administrative Investigations

Investigating conduct problems is also known as an Administrative Investigation. The purpose

of an administrative investigation is to support a decision to take or not to take disciplinary
action. The goal is to impartially gather and compile all relevant evidence.

The supervisor may conduct the investigation or appoint a neutral third party to conduct
the investigation and prepare the investigative report.

Tips for starting an investigation:

o Know your Task and Authority

o Research any preliminary questions you may have regarding the investigation

o Enlist the help of subject matter experts

o Identify a list of possible witnesses

o Prepare a list of questions for witnesses (to be used as a guide)

o Obtain reference material (if necessary)

The investigator has a right to full cooperation from federal employees. Refusal to
cooperate may be grounds for disciplinary action. The investigator also has a right to
expect truthful answers during the investigation. False answers may be grounds for
disciplinary action.

Unless the information is going to be used for criminal prosecution, there is no right to
remain silent. Criminal investigations are beyond the scope of this guidance and should
be referred to the proper authority.

Tips for Interviewing witnesses:

o Conduct Private Interviews:

face-to-face (preferred)

telephone interviews (follow up with written statements)

written statements
 o Interview complaining party and/or suspected party first

o Interview all other witnesses (if necessary)

o Secure signed written statements from witnesses

o Keep good notes

o Respect their rights

Witness rights during an investigation:

o Introduction The investigator should always introduce himself/herself and

explain that they are conducting an official investigation.

o Right to Union Representation If the witness is within a bargaining unit, has

reason to believe the investigation could lead to disciplinary action against
him/her, and request union representation, they have a right to have a union
representative at the investigation (Weingarten Rights).

o Statement A witness is entitled to a copy of his/her own statement.

o Confidentiality Witness cannot be guaranteed absolute confidentiality. The

investigator should minimize the spread of information and limit it to those who
have an official need to know.

Sources of Evidence include:

o Material Evidence evidence is material if it relates to one or more of the issues

raised in the inquiry.

o Relevant Evidence evidence is relevant if it tends to prove or disprove a

material issue raised in the inquiry.

o Reliable Evidence Whether material or relevant, not all evidence is worthy of

belief. Factors to consider:

Is the testimony based on personal knowledge or experience?

Is the testimony a direct observation or merely a conclusion?

Does the witness have an interest in the outcome of inquiry?

Is the witness biased for other reasons?

 Preparing Investigative Report:

o Review all the evidence collected

o Re-interview witnesses (if necessary)

o Organize your evidence

o Prepare a narrative report suggested format:

Purpose

Reference Material and Interviewees

Issues

Findings

Conclusions/Recommendations

Enclosures

Twin Notice Requirement in Dismissal of Employees

It is a cardinal rule in law that due process must always be observed. In labor cases, employers
have often lost cases because they have not complied with procedural due process in the
dismissal of their employees. In the case of San Antonio vs NLRC, et al.[G.R. No. 100829.
November 28, 1995.], the Supreme Court held that:

The rudiments of due process cannot be lightly ignored. Proper compliance with the twin
requirements of notice and hearing are conditions sine qua non before a dismissal may be validly
effected. Elucidating, the Court, in Pepsi-Cola Bottling Co. v. NLRC, (210 SCRA 277, 286)
explained: The law requires that the employer must furnish the worker sought to be dismissed
with two (2) written notices before termination of employment can be legally effected: (1) notice
which apprises the employee of the particular acts or omissions for which his dismissal is sought;
and (2) the subsequent notice which informs the employee of the employers decision to dismiss
him (Sec. 13, BP 130; Sec. 2-6 Rule XIV, Book V, Rules and Regulations Implementing the
Labor Code as amended). Failure to comply with the requirements taints the dismissal with
illegality. This procedure is mandatory; in the absence of which, any judgment reached by
management is void and inexistent. The second notice must be given the employee after due
hearing. The hearing requirement is not to be considered a mere technicality but one of
substance to which every employee is entitled in order to at all times assure that the employers
prerogative to dismiss or lay-off is not abused or exercised in an arbitrary manner. Consultations
and conferences may not be valid substitutes for actual observance of notice and hearing. Any
procedural shortcut, that effectively allows an employer to assume the roles of both accuser and
judge at the same time, should not be countenanced. Not excluded from the rule are confidential
and managerial employees; they themselves cannot be arbitrarily dismissed without such just
causes as must be reasonably established in appropriate investigations. Shortly after petitioner,
in compliance with the companys directive, had explained why he should not be disciplinary
dealt, he received forthwith the companys decision dismissing him from employment. No
hearing, or a semblance thereof, was conducted apparently because the company believed that
the case was res ipsa loquitur in character.