Investigations are essential for stopping misconduct, protecting employee rights, and minimizing disruption and disharmony in the workplace. The central part of most workplace investigations is interviewing the employees who are witnesses to the alleged wrongdoing. Here are some tips on what to do before, during, and after interviewing employee witnesses to get the most out of your investigations.
Before conducting the interviews:
Make a schedule for yourself, and stick to it. You generally want to keep the time frame as tight as possible so the issues are fresh on the witnesses’ minds and you can conclude the investigation in a timely manner, which allows everyone involved to get back to work.
Schedule interviews so witnesses have the least amount of time to talk to each other as possible. While they may not do so maliciously, employees tend to talk to each other, and the story of what each person actually saw can get muddled with the version he/she heard from a coworker.
Try to keep the interviewee list short. When thinking about whom you will interview and in what order, start with the person being complained about, then maybe the person who works closest with that person, and then the possible sources revealed in those interviews. If you interview everyone in the department as a blanket rule, you can cause a lot of stress as well as waste your time.
During the interviews:
Be polite and courteous but not too sympathetic. Often, emotions are running high during investigation interviews. Avoid statements that may lead the person to think you do or don’t believe her/him. For instance, if a witness starts crying, you should not say, “I’m so sorry this happened to you!” Instead, offer a tissue and ask if the person would like to take a short break to regroup.
Be mindful of your physical presence. If you are a bigger person, be mindful that your physical presence can be intimidating and try not to hover over the witness or stand between him and the door. If you are a smaller person, you can position yourself at the head of the table to indicate that you are in charge of the situation.
Do not coerce witnesses. You cannot physically force employees to participate in investigations. Be careful to avoid situations in which the witness could feel trapped by things like a locked or blocked door. While you should never physically force an employee to participate in an investigation, you should have a statement in your handbook that lets employees know that participating in investigations is a condition of employment and those who refuse to cooperate will be subject to discipline. Very important, you cannot force a complainant to participate in an investigation; however, the employer must investigate regardless.
Have questions prepared. Have as many questions as possible written out beforehand so you are not fumbling during the interview through pages and can keep your train of thought.
Have a neutral manager present. This will allow you to focus exclusively on the witness and asking appropriate questions and to avoid being accused later of coercion or undue influence, have a disinterested manager present during all interviews. This person will be taking notes so that you can devote your attention to the person being interviewed and continue to make positive eye contact.
Give an “anti-retaliation speech”. At the end of every interview, you should let each witness know that making a complaint and participating in the investigation are protected activities and that your organization will not tolerate retaliation. You can try something like, “You have a right to make a complaint and it is protected. If you feel like you are being retaliated against because you made a complaint/participated in this investigation, please let me know.”
Hand written account. At the conclusion of each interview, the witnesses, the complaining employee and the employee being complained about should be required to write out using their own hand, a summary of all the facts they just recited. That document should then be dated and signed by everyone who was present in the interview.
After the interviews:
Transcribe notes taken by the manager. Have the disinterested manager type out his or her notes as soon as possible after the interview while still fresh on their mind. This information therein will be considered more accurate in any future claims. Both you and the manager should date and sign the transcribed notes for future reference.
Follow up on the interview notes. If an employee mentions an email, memo, or other concrete document you can track down, include this in the notes of the interview and an asterisk placed next to the reference so you can be sure to include all relevant evidence in your investigation and associated conclusion.
Follow up with the investigation participants. Let the complaining employee know the situation is being addressed. Also, tell witnesses when the investigation is over so they know they do not have to be waiting to be called upon.
Do not be scared to put honest issues in a report. “Warts” make the report look thorough and show that you are really looking to resolve the situation. If you believe discrimination, harassment, or some other illegal or inappropriate activity occurred, put it in your report. That will provide some protection for you if management decides not to follow through with your suggestions.
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