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Meet with the complainant first to establish particulars of the allegations
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Ask complainant for as many documents as possible relating to the allegations
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Send detailed particulars of the allegations to the respondent in advance
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Conduct interviews in a private location (on-site or off-site)
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Emphasize confidentiality obligations above all else
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Set expectations for complainant, respondent and witnesses with respect to what information will be shared with them, and what their level of participation will be
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If new complaints come to light, consider expanding the scope of the investigation
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Consider whether a written investigation report is required or whether something more informal is appropriate
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Take note of non-verbal behaviour during interviews
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Allow interviewees to add additional information of their own at the end of each interview
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Follow up with the complainant, the respondent and witnesses to obtain documentary evidence
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If necessary, conduct follow up interviews with respect to documentary evidence
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Complete investigation promptly
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Waiting until a complainant comes forward when witnesses have already brought forth concerns
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Waiting for a formal written complaint to be submitted when a verbal or emailed complaint has already been made
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Using the initial or subsequent meeting with the complainant to criticize the complainant’s performance or social interactions
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Ambushing the respondent without advance particulars
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Failing to sufficiently particularize allegations to the respondent
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Refusing to disclose allegations to the respondent on the grounds of confidentiality
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Failing to interview a material witness
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Attempting to interview every conceivable witness when the necessary evidence has already been collected
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Confusing investigations with mediation
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Conducting verbal/informal investigations when a more formal investigation is called for
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Overreliance on documentary evidence or witness statements and under-reliance on interviews
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Inadequate communications with complainant and/or respondent following the conclusion of the investigation
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Failing to preserve notes, important documents, and witness statements
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Unnecessary and/or improper claims of solicitor-client privilege over investigation reports