Top tips to conducting a workplace investigation. This also offers information about obtaining a Timesaver Kit that includes templates to be used for a workplace investigation.

1. By Rosanna Nadeau, SPHR
Originally published by HR C-Suite
www.hrcsuite.com

2. 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.

3. 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

4. 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.

5. 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.

6. 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.

7. 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.

8. 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.

9. 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. 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.

11. 10 Key Components to a
Workplace Investigation
8. Decide.
™ Analyze statements, your notes and other factual
information available.
™ Determine what happened
™ Evaluate company policies

12. 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.

13. 10 Key Components to a
Workplace Investigation
10. Follow up.
™ Document closure decisions, approvals, results of close
out meetings

14. Short on time but still need to deliver
results?
Access our Workplace Investigation Timesaver Kit TM
The Kit Gives You:
™ Template: Statement By Reporting Participant (Editable)
™ Template: Investigation Confidentiality Agreement (Editable)
™ Template: Statement by Witness (Editable)
™ Template: Investigatory Leave Notice (Editable)
™ Template: Investigation Close-Out (Editable)
Buy now and have these templates delivered to your email in-
box instantly!
Go to:
http://www.hrcsuite.com/product/investigation-timesaver-kit/