How to Conduct Effective Workplace Investigations?
Why is it Important to Conduct an Investigation? The benefits of conducting an investigation is :
To determine what happened
To take immediate action
To ensure policies are appropriate for a company
To apply discipline appropriately
To avoid lawsuits
What to Do When a Complaint is Received? Listen
to the complaint
Be neutral but reassuring
Let
the employee know that the company takes complaints very seriously
Explain Do
retaliation and confidentiality
not form an opinion or premature conclusion
Ask
if there are any witnesses, ask if the complainant spoke to anyone else about the incident
Explain
next steps to complainant
Document Prepare
initial conversation
for an investigation
What Needs to Done Before the First Witness Interview?
10-Step Process
Determine the goals of the investigation Assess potential disadvantages Select the appropriate investigator(s) Identify roles and responsibilities of the investigator(s) Identify potential witnesses Identify documents to be reviewed Prepare investigation strategy Prepare outline of questions Establish special, secure files and records Review and update the investigation plan
How to Document Information? •
Take notes
•
Include date, time, and place of interview
•
Go over notes with interviewees to ensure they are accurate
•
Obtain a written statement (supply a draft or type statement for interviewee)
Preparing Investigation Report
Keep in mind that investigation report could end up in court as evidence in a lawsuit
Report major decisions and why they were made
Report whether claim was substantiated, unsubstantiated, or inconclusive and document the reasons
Put report in a separate investigation confidential file
Recommend action to be taken, if necessary
Want to learn more about workplace investigations, best practices and know-how? ComplianceOnline webinars and seminars are a great training resource. Check out the following links: How to Conduct an Internal Investigation
Workplace Investigations - Witnesses Intervie
How to Conduct an Offensive Behavior Investigation
How to Conduct Workplace Investigations - B
Bulletproof Workplace Investigations