One of HR’s Delicate Tasks—The Investigatory Interview

For help with this tricky task, we turned to HRhero/BLR’s Workplace Investigations: the HR Manager’s Step-by-Step Guide.

Interviewing the Complaining Employee

Attorney author Jody Shipper suggests HR investigators consider the following as they prepare to interview an employee who has brought a complaint:

• Allow ample time.
• Build rapport.
• Set the stage—assure the employee that the complaint is being taken seriously and that it will be handled properly.
• Take the opportunity to define the scope of the interview
• Review your policies and practices around confidentiality during investigations.
• Discuss retaliation issues.
• Let the complaining employee tell his or her story.
• Seek to define the conduct period and limit by person, behavior, or time.
• Ask, How do you know the alleged offender (only through work, or is there another relationship)?
• Ask the complaining employee to define terms used and provide specific examples (“harassment,” “discrimination,” ”retaliation,” ”inappropriate,” “offensive”)
• Probe for corroborating witnesses or documents.
• Ask, Have you kept or created any notes, diary entries, or other records that have anything to do with this complaint or the events we are discussing as part of this complaint? (Blogs? Facebook ort MySpace pages? Other online places?)
• Do you have any other documents relating to your allegations? E-mails, old calendars, diaries, Post-It notes, letters?
• Are there other documents relating to this situation that we should try to find?
• “Have you spoken to anyone else about this? If so, whom?
• What was the reaction of the person(s) with whom you spoke?
• Do you know of any other employees who may have the same or a similar complaint or concern?
• Have you had any other problems with the alleged offender on or off the job other than the one(s) being discussed today?
• How have you been affected by this situation?
• What actions have you taken?
• What are you hoping for as a result of bringing this complaint? What action are you seeking? (This isn’t a guarantee that you will take that action, but it’s important evidence and key to determining the appropriate consequence.)
•  “Is there anything else?” Ask at least two or three times and reflect in your notes that you have asked.
• Don’t editorialize or comment.
• Take complete notes.
• Review notes at the end of the interview and ask the complaining party to sign and date the notes and make any appropriate corrections.
• If there is a written statement, be sure it is signed and dated. Even if you have a full written statement, conduct the interview.

Shipper suggest that investigators wait until after the interview with the complaining employee to create the investigation plan that would include:

• Define the scope
• Create a timeline/outline
• Create an initial witness list
• Determine required testimony—oral and documents
• Determine interview order for other relevant witnesses

In tomorrow’s Advisor, how to interview the accused, plus notice of a timely in-depth virtual summit on workplace investigations.