A workplace investigation is a fair, documented process for finding out what happened after a complaint or incident, such as harassment, theft or a safety violation, so the employer can act on facts.
A housekeeper reports that a maintenance worker made sexual comments to her in a stairwell on a Saturday evening. He denies it and says he was not working that weekend.
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The HR manager interviews both and two coworkers, one of whom heard part of the exchange. She then checks the time records: the maintenance worker clocked in at 2:58 p.m. that Saturday on the property’s kiosk and out at 11:04 p.m., after a shift swap he had requested. His statement that he was not there was false.
The finding is that the comments more likely than not happened. He receives a final written warning and is moved to a different shift; the housekeeper’s schedule does not change. HR checks in with her at 2 weeks and 2 months. The time records did not prove what was said, but they decided whose account of the day was accurate.
A short, structured report is enough for most workplace investigations. It should include the allegation as reported, the dates and people interviewed, the documents and records reviewed, a summary of each account, the investigator’s findings on each point with the reason, and the action taken. Keep opinion out of the summaries and put reasoning in the findings.
Write each finding as what more likely than not happened and why, for example because a witness account and the time records agree. Store the report and notes in a confidential investigation file, not in the personnel file of everyone involved, and share only what each person needs to know about the outcome.
A cashier reports that a shift lead gives her the worst register and the shortest breaks because she complained about him before. The investigator reviews 8 weeks of register assignments and break records and interviews 5 coworkers.
Register assignments rotate on a written chart, and her breaks match the team’s average. The finding is not substantiated. The investigator tells both parties, reminds the shift lead about the rule against retaliation, and schedules a check-in with the cashier at 4 weeks. The records allowed a clear answer instead of a standoff.
As long as it needs to be thorough, but start promptly. Simple cases often take days, complex ones a few weeks.
Someone impartial with no reporting relationship to either person. An outside investigator helps when the accused is senior or the issue is serious.
Yes. Title VII makes it unlawful to discriminate against employees for opposing unlawful practices or taking part in an investigation, and other laws have similar protections.
Most workplace investigations decide what more likely than not happened.
Sometimes, for serious allegations, often as paid leave. Choose interim steps that do not penalize the person who complained.
You can ask for discretion to protect the process, but be careful with blanket rules that stop employees from discussing working conditions. Get advice on how to word the request.
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