How to Give Notice to an Employee During an Internal Investigation

Workplace investigations may require providing notice to employees concerning their participation or involvement.

Employers bear responsibility for having the most difficult conversations with employees. Aside from employee terminations being one of the hardest topics to broach, notifying an employee about an internal investigation can be just as hard. Prepare for a conversation with your employee by assembling your documents and organizing plans for a possible employee suspension. Remain calm and firm throughout the employee meeting, yet communicate honestly and openly with all employees impacted by the investigation.

Instructions

1. Schedule a time to meet privately with the employee. Giving notice to an employee concerning an internal investigation may involve sensitive or confidential matters that are best discussed in a private setting. If the employee with whom you're scheduled to meet is accused of wrongdoing in the investigation, schedule your meeting near the end of the week and at the close of the business day in the event you need to suspend the employee.

2. Start the conversation by explaining your role with the company. Generally speaking, human resources staff are responsible for giving notice to an employee during an internal investigation; however, some managers may be charged with providing notice to an employee they directly supervise. If your organization doesn't have a dedicated HR department, the highest ranking manager should give notice to an employee in this case.

3. Describe the internal investigation to the extent you can without disclosing details about the investigation or any confidential statements provided by other employees you've interviewed during your investigation. If the employee reacts emotionally, you may have to proceed quickly to suspend the employee or explain how you intend to address the allegations you're investigating.

4. Refrain from making accusations or sharing conclusions about your investigation. This is the initial stage in discussing your investigation with the employee. For example, don't make statements such as "You harassed Sue during the time you worked with her on the night shift," or "Sue said you harassed her repeatedly." Instead, explain that you are in the fact-finding stage of your investigation and you are giving him notice of an internal matter that you are working to resolve.

5. Avoid losing control of your meeting with the employee. In other words, don't permit the employee to turn the tables and interrogate you about the investigation. Assert your authority and remain calm during the conversation; refrain from expressing your emotions or giving the employee any indication of your personal perspective about the investigation.

6. State the date on which you intend to complete the internal investigation. This is an absolute requirement if you're suspending the employee, but do not indicate what you expect the outcome to be. When you haven't yet completed the investigation, you don't know the outcome. Therefore, you cannot definitively state how you expect your investigation to unfold, what you expect to discover or what the employee should anticipate regarding her employment status. At this point, the only fact you are at liberty to disclose is that you are giving her notice of an internal investigation and the tentative length of a suspension, if any.

Tips & Warnings

• If you give notice to an exempt employee and determine that suspension is necessary to continue your internal investigation, ensure your company doesn't violate Fair Labor Standards Act regulations concerning suspension and docking pay for exempt employees.

References

• U.S. Equal Employment Opportunity Commission: Small Employers on Employer Liability for Harassment by Supervisors
• Law.com: An Employer's Guide to Conducting Internal Investigations
• U.S. Department of Labor: Disciplinary Deductions

Resources

• Foley & Lardner: How to Conduct an Internal Investigation