Investigation Basics

If an employee reports a claim to a business owner or manager, it must be investigated.  The following information is provided by ePlace Solutions, Inc. to know how to properly conduct a workplace investigation

1. Choose an investigator. The investigator should be neutral and objective. Make sure that the individual is trained and has adequate time to devote to the investigation.
2. Review company policies and procedures relating to the alleged event. Note and review any prior complaints and business records (e.g. videotapes, photographs, etc.).
3. As soon as possible, speak with the complaining party and ask for a written statement. You must explain to the employee that the company is obligated to investigate all complaints, regardless of whether the complainant wants the matter investigated. Ask for names of any witnesses.
4. Evaluate the need to separate the parties.  If you need to separate the parties, do not alter the terms and conditions of the complaining employee’s job (e.g., location, schedule, job duties).
5. Interview the accused. Tell the accused employee what they are being accused of doing. Give them the opportunity to respond. Take detailed notes and ask the accused to read the notes and verify the accuracy.
6. Interview other employees who may have witnessed the incident. Document the details of the witness interviews.
7. Prepare an investigation report. The report should detail the chronology of the events, who was interviewed, all relevant documents, and a summary of the investigation, including the resolution.
8. Reach a conclusion. Do not speculate. Use the facts and circumstances you have gleaned from the investigation to support your conclusion.
9. Convey the decision to the parties. Meet separately with the accuser and the accused and tell them your conclusion.
10. Ensure there is no retaliation. Warn the harasser not to retaliate against the complainant. And, tell the complainant that if they feel retaliated against in any way, they need to let you know immediately.
11. Prepare a summary report which will be attached to your notes in a confidential file.

If you are unsure how to properly investigate an allegation, seek legal counsel to make sure you are in compliance regarding workplace investigations.