How To Effectively Investigate And Document Poor Performance And Misconduct Issues Which May Lead To Discharge

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June 17, 2015

A. Develop an Investigation Blueprint.

-          Develop a plan

  • What is the issue?
  • Who is the targeted employee?
  • Identify potential witnesses (including the accuser)
  • Identify documents (rules, policies, procedures, time cards, e-mails, etc.)
  • Prepare an outline of questions

-          Establish and secure files and records

-          Choose an investigator wisely

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B. Conducting the Investigation

-          Document each step – develop your record

-          Interview witnesses (with another present)

-          Get the facts

[WHO? WHAT? WHERE? WHEN? WHY? HOW?]

-          Take notes [legible]

-          Do not accept second or third-hand information

-          Do not guarantee confidentiality

-          Coordinate with other investigators (if applicable)

-          Secure written statements [date/time/legible/no red ink]

-          Document the oral statements

-          Secure supporting documentation (notes, gifts, company records)

-          If incomplete, follow-up

-          Flush out inconsistencies

-          Interview targeted employee last

-          Document results

-          Avoid e-mail discussions

 

C. Making the Decision

-          Determine course of action

  • Just the facts
  • Do not editorialize
  • Be objective and consistent

-          Timing (workers’ compensation claim, safety complaint, discrimination/harassment complaint)?

-          Choose words carefully (oral and written)

-          “Theft” vs. “unauthorized possession”

D. Communicating the Decision

-          Have witness in room

  • Honest and direct
  • Do not argue
  • Civil and professional

-          Communicate to others on a “need-to-know” basis

-          Feedback to other involved employee, if applicable

-          Follow-up for a period of time

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