Assess the need for an investigation: Determine whether an investigation is necessary based on the severity of the alleged misconduct and the agreement among employees regarding the incident. Generally, conducting an investigation is advisable for serious misconduct or when there is a lack of consensus on the issue.
Select an impartial investigator: In small businesses, the owner or a manager usually handles investigations. The investigator should approach the process with impartiality and respect the rights and dignity of all parties involved.
Develop an investigation plan: Create a comprehensive plan to ensure a thorough investigation. This includes identifying the specific rule or standard that the employee is accused of violating, verifying the reasonableness and legality of the rule, and assessing the employee’s knowledge or awareness of the rule.
Ensure consistency in application and sanctions: Review past cases to ensure consistent application of rules and appropriate sanctions for similar offenses.
Gather all relevant information: Collect all available information, including witness accounts and any supporting documents or evidence such as emails, policies, or recordings.
Conduct interviews: Interview the employee who allegedly committed the misconduct, as well as the employee who reported the wrongdoing. Additionally, interview other witnesses who can provide relevant insights. Document their statements and gather signed statements, if possible.
Collect documents and evidence:Depending on the nature of the investigation, collect and retain relevant documents, such as emails, policies, or correspondence, and any other necessary evidence like social media posts, photographs, recordings, or stolen items.
Evaluate the evidence: Carefully review all gathered evidence, particularly in situations where witnesses have conflicting accounts. Focus on gathering factual information rather than making assumptions. Consider observations, statements, records, data, and interactions with supervisors.
Assess the credibility of allegations: Based on the evidence, determine the probability of the allegations being true. This evaluation will help the employer decide whether there is sufficient evidence to proceed with charges against the employee and initiate a disciplinary hearing. Consider factors such as the plausibility of different stories, the credibility of witnesses, and potential motives for dishonesty.
Document the investigation: Once the investigation is concluded, create comprehensive notes documenting the entire process. Include details such as how and when the allegations were brought to the employer’s attention, the conducted interviews, and the obtained evidence. These notes will serve as a reference for any subsequent disciplinary hearings that may follow the investigation.
