By Rosanna Nadeau, SPHR

Originally published by HR C-Suite www.hrcsuite.com

Workplace Investigations

Workplace conflict is inevitable.

But when conflict is well managed it can save a business costs on lost productivity, lost talent,

litigation, and regulatory challenges.

One of the keys to achieving this is conducting effective workplace investigations.

What Triggers an Investigation

Not limited to:

�  Employee complaint of harassment or bullying

�  Employee complaint of retaliation

�  Reports of misconduct (i.e. theft, conflicts of interest)

�  Workplace violence or threats of violence

�  Safety concerns

10 Key Components to an Investigation

1. Set the stage � Inform your leadership and that of the complainant and

accused.

� Select discreet meeting locations for the interviews.

� Provide water and tissues if necessary.

10 Key Components to a Workplace Investigation

2. Review these ground rules �  Be empathic but objective. Don’t take sides. �  Explain the matter will be kept confidential but some

details will be shared with those have the need to know to resolve the issue.

�  Focus the investigation on what happened. No conclusions yet.

�  Ask open ended and thorough questions. Ask follow up questions to gain clarity.

�  Ask if there are witnesses. �  Ask the complainant what they think should happen to

resolve the issue.

10 Key Components to a Workplace Investigation

3. Complete documentation during the interview meeting

�  Before the interviewees leave your office have them write, sign and date their statements.

�  Provide a comfortable atmosphere for the interviewees to write their statements

�  If the statement is given by phone read back the statement to ensure accuracy.

�  Keep the statements confidential.

10 Key Components to a Workplace Investigation

4. Provide interim protection if appropriate

�  Depending on the situation you may wish to separate the complainant and accused to ensure there are no retaliation attempts.

�  Send the accused home on administrative leave pending investigation.

�  Do not involuntarily transfer the complainant.

10 Key Components to a Workplace Investigation

5. After accepting the complainant’s statement, contact and arrange to meet promptly with the accused.

�  Don’t inform the employees why you are meeting with them until you are in your meetings.

�  You can let them know you’d like to meeting with them to obtain some confidential information you need.

10 Key Components to a Workplace Investigation

6. Prepare the investigation plan. �  List witnesses identified by the complainant and accused. �  Only interview those names mentioned. Going further

than necessary can be disruptive. �  Be objective. If you can’t be, find someone else to conduct

the investigation. �  Be patient, calm, have skills to build rapport and to be

perceived as fair. �  Determine if it makes sense to have a neutral observer

present to also take notes. �  If a violent response is anticipated, have security close by

in a discreet location.

10 Key Components to a Workplace Investigation

7. Interview each person individually, not in pairs or groups.

�  Allow time between each interview meeting to type up your notes while they are fresh in your mind.

�  Remember to obtain written statements from each individual interviewed.

10 Key Components to a Workplace Investigation

8. Decide.

�  Analyze statements, your notes and other factual information available.

�  Determine what happened

�  Evaluate company policies

10 Key Components to a Workplace Investigation

9. Close out investigation.

�  Conduct separate close out meetings with complainant and accused.

�  Provide both with a close out memo and a copy of the policy.

�  Keep disciplinary actions taken confidential even from the complainant.

�  Handle questions and thank them.

10 Key Components to a Workplace Investigation

10. Follow up.

�  Document closure decisions, approvals, results of close out meetings

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