Chapter 4: Evaluation Processes, Investigations, and Noncompliance Response

Resource: Sample Instructions to Witnesses

By Virginia MacSuibhne and Meric Craig Bloch

Begin the instructions to the witness by stating:

This is a workplace investigation. It is a serious matter. You have been asked to assist us. We are trying to find out what happened here so we can advise management accordingly. We appreciate your time and cooperation.

If the investigator is an attorney and the investigation is being conducted under the attorney-client privilege, provide the Upjohn warning. Regardless of whether it is appropriate to provide the Upjohn warning, the investigator should inform witnesses as follows:

Please know that I am a lawyer for the company. I represent the company. I do not represent you. I may share this information with organization management.

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The Health Care Compliance Association (HCCA), is a 501(c)6 non-profit, member-based professional association. HCCA was established in 1996 and is headquartered in Minneapolis, MN. We provide training, certification, and other resources to over 10,000 members. Our members include compliance officers and staff from a wide range of organizations, including hospitals, research facilities, clinics and technology service providers.

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