Hr investigation template

Neither members nor non-members may reproduce such samples in any other way e. Before the trial and afterward, U. Magistrate Judge Thomas P. While the HR investigator had concluded that the executive was treated fairly, the judge said the HR report was one-sided and blocked IBM from submitting it as evidence at trial. Specifically, he noted that the HR report failed to include evidence favorable to Castelluccio, including his performance reviews.

Castelluccio was treated fairly. IBM settled the case out of court in for a dollar amount that is confidential, according to Castelluccio's attorney, Mark Carta. An IBM spokesman declined to comment. The ruling is one example of how a poorly conducted internal investigation can cost a company financially and damage its reputation, not to mention the reputations of the HR professionals tasked with overseeing such a probe.

On the other hand, a properly conducted investigation—one that is prompt, thorough and impartial—can help defend a company should a lawsuit be filed later. By ensuring a fair investigative process, HR professionals also can help build morale and trust among employees. Conducting workplace investigations is one of the most challenging duties that HR professionals must take on. Workforce demographics are shifting.

New laws are constantly popping up. Employees are more aware of their rights. She recalls the trepidation she felt conducting her first workplace investigations.

Ideally, with proper training and experience, a novice investigator over time develops a greater comfort level in handling complaints, she says. But the task is not for the faint of heart. While many HR departments investigate every employee complaint, employers are legally mandated to investigate harassment, discrimination, retaliation, safety and certain other types of complaints. Once the decision to investigate has been made, some HR professionals may be tempted to immediately start scheduling interviews.

However, good investigators will first create a plan that answers these questions:. Sometimes the HR person is too close to the topic, and their judgment may not be where it should be. Be alert to any potential conflicts of interest when choosing an investigator. Before interviewing witnesses, gather physical evidence that might validate the complaint.

Is my reward really going to be greater than the risk? Ivey recalls a harassment case in which a male employee was accused of coming on to a female worker at the copy machine.

Finally, plan questions in advance and use open-ended questions to draw information out of the witnesses. Auto parts retailer AutoZone has been the target of numerous lawsuits challenging its use of aggressive interview tactics to extract confessions from employees suspected of theft.

At the time, AutoZone investigators used an interrogation method called the Reid Technique, frequently used by police and security officers to detect whether a suspect is lying. While employee theft is a big problem in the retail industry, not all retailers use the controversial Reid Technique for investigation interviews.

Ultimately, HR decides whether disciplinary action is needed. Regional HR directors are available to guide the HR managers in individual stores, and company attorneys are often consulted, according to Domian. Even the location of interviews can affect the outcome of the investigation.

Schaefer has seen HR professionals interview witnesses on the warehouse floor in full view of their co-workers. Employees are less likely to share information under such circumstances, she says, and they will likely be reluctant to come forward to report any misconduct in the future.

When there are conflicting versions of events in harassment cases, the U. Equal Employment Opportunity Commission suggests using the following factors to assess witness credibility:.

As time goes by, it will become more difficult to collect evidence and get witnesses to talk. Details are forgotten. Documents disappear. Bad behavior continues. Another mistake that Schaefer has seen involves HR professionals who fail to focus on the employees being interviewed. In some cases, the interviewer is constantly interrupted by phone calls or texts.

Encourage all those involved in the investigation to keep the proceedings confidential to protect the integrity of the process. If word leaks out, other employees will lose trust and might refuse to share what they know. Ultimately, the investigator must weigh the evidence and conclude whether company policies were violated or misconduct occurred. Many HR investigators are reluctant to do this, Schaefer says. For guidance, Schaefer recommends using the U.

Investigation meeting to be run by. Start date of investigation. Company procedures and policies that need to be followed. Issues that apply to this investigation. Sources of evidence. People to be interviewed. People to provide their own independent statements. Any further considerations. Name of person in charge of the investigation.