Investigation Readiness Assessment Checklist

A Practical Guide for HR Managers and Directors

Before initiating or delegating a workplace investigation, conduct a thorough readiness assessment. This checklist helps evaluate allegations, flag potential challenges, and ensure a robust and defensible investigation.

Complaint and Mandate Assessment

  1. Formal Complaint: Is there a formal, written complaint?
    If no: Obtain or assist in preparing a formal written complaint.
  2. Threshold Question: If true, does the complaint constitute a breach of policy or legislation?
    If no: Consider alternative resolutions.
  3. Complaint Detail: Is the alleged misconduct sufficiently detailed to enable a proper response?
    If no: Clarify allegations with the complainant.
  4. Obligation to Investigate: Is there a policy or legal obligation to investigate?
    If yes: Confirm procedural obligations and timelines.
  5. Alternative Resolution: Could mediation or coaching adequately address the issue?
    If yes: Explore alternatives before proceeding.
  6. Scope: Is the investigation’s scope clearly defined (specific allegations, timeframe, applicable policies)?
    If no: Define and document the scope explicitly.
  7. Parties Identified: Are complainant and respondent clearly identified?
    If no: Confirm identities and roles before initiating.
  8. New Allegations: Is there a documented process for managing new allegations?
    If no: Develop guidelines for handling new issues.

Initial Assessment

  1. Previous Attempts: Have previous resolution efforts occurred?
    If yes: Document attempts for context.
  2. Disputed Facts: Are facts in dispute?
    If yes: Prepare for thorough credibility assessments.

Policy and Legislative Review

  1. Policies & Legislation: Have relevant policies and legislation been reviewed thoroughly?
    If no: Complete a comprehensive review.
  2. Procedural Requirements: Do policies specify procedural requirements or timelines?
    If yes: Document these clearly for compliance.

Investigator Selection

  1. Investigator Suitability: Could an internal investigation be perceived as biased or lack necessary expertise, posing significant risks?
    If yes: Consider an external investigator.

Communications Preparedness

  1. Confidentiality: Does your notification clearly state confidentiality expectations?
    If no: Revise communication templates.
  2. Interim Measures: Have necessary interim measures been coordinated?
    If yes: Confirm measures with stakeholders.
  3. Organizational Resources: Do you have necessary organizational resources ready (contacts, charts, schedules)?
    If no: Gather and organize resources.

Evidence and Witness Management

  1. Initial Evidence: Has preliminary evidence been secured?
    If no: Request and gather initial evidence promptly.
  2. Witness Identification: Are direct witnesses clearly identified and prioritized?
    If no: Clearly identify and prioritize witnesses.
  3. Witness Impartiality: Could investigation administrators also be witnesses?
    If yes: Arrange alternative staffing for impartiality.

Assessment Summary

Upon completing this checklist, carefully evaluate:

  • Areas fully prepared.
  • Areas needing additional clarification or actions.
  • Identified risks requiring mitigation.

About Certitude Workplace Investigations

Certitude Workplace Investigations is a trusted provider of professional, legally defensible workplace investigations. Our experienced investigators offer specialized expertise to navigate sensitive workplace situations effectively and impartially.

Website: www.certitudegroup.ca
Contact: info@certitudegroup.ca | 1-888-270-1437