Best Practices in Performance Management and Workplace Investigations

Managing performance is a critical function of HR teams, ensuring that employees align with company standards, values, and policies while driving organizational success. It is a continuous process that involves assessing, managing, and enhancing employee performance to foster productivity and growth. However, when employee behavior violates company policies—such as those relating to code of conduct, safety, security, or diversity—HR must intervene.

Addressing these issues promptly and effectively is essential to prevent a toxic work environment, maintain safety, and protect the organization’s reputation. To navigate conflicts and restore a harmonious work setting follow these best practices for performance management and workplace investigations.

The Role of Documentation: Building a Strong Foundation

Documentation is a cornerstone of effective performance management and investigations. It provides a transparent, consistent, and fair record of incidents and actions taken, ensuring that the process is legally defensible if further actions are required.

Key Elements of Documentation:

• Date and Time of Incident: Capturing when the event occurred establishes a timeline and context for the behavior in question.

• Location of Incident: Noting where the incident happened can offer insights into the circumstances surrounding it.

• Description of the Incident and Related Performance Issue: Clearly detailing the incident avoids ambiguity and ensures all relevant observations are documented.

• Description of Corrective Action Taken: Outlining the steps taken, whether through corrective measures or an investigation, ensures clarity and transparency.

This thorough approach ensures that every action is justified and can be defended.

Corrective Action or Workplace Investigation?

When a conflict or issue arises, an HR department has two primary approaches: implementing corrective action or initiating a workplace investigation. Selecting the right approach depends on the severity and nature of the issue.

Corrective Action Steps:

Corrective action is appropriate when the behavior in question can be managed and improved through direct intervention, coaching, or training. This approach offers an opportunity for employees to correct their behavior while holding them accountable. The steps involved include:

1. Preparing Detailed Notes for Discussion: Supervisors should prepare comprehensive notes outlining the discussion points to ensure all aspects are covered.

2. Developing a Performance Improvement Plan (PIP): When necessary, a PIP provides a structured approach for the employee to follow, outlining clear goals for improvement.

3. Meeting with the Employee: The supervisor meets with the employee to discuss the incident, allowing for the employee’s input and perspective. In unionized environments, a representative may be present.

4. Reviewing the PIP: Based on the meeting, the supervisor may adjust or finalize the PIP, ensuring the employee understands the expectations and the path to improvement.

5. Scheduling Follow-Ups: Regular check-ins with the employee help monitor progress, provide support, and reinforce accountability.

This structured approach creates a pathway for employee improvement while ensuring consistency and fairness in the performance management process.

Workplace Investigations:

In cases involving severe allegations such as harassment, bullying, threats, discrimination, or human rights violations, an objective and unbiased investigation is required. In such instances, HR may engage an independent firm to conduct the investigation, ensuring procedural fairness and maintaining objectivity.

The Role of an Independent Investigator:

• Conducts the investigation without bias, adhering strictly to your company policies and procedures.

• Ensures procedural fairness while collecting all relevant information and maintaining confidentiality.

• Produces findings that are legally defensible, protecting the interests of all parties involved.

Engaging a third-party investigator provides stakeholders with reassurance, increasing openness and information sharing. It also demonstrates the organization’s commitment to a fair and thorough process.

Steps in a Workplace Investigation:

An independent investigator follows a systematic approach designed to uphold integrity and fairness throughout the investigation:

1. Conducting Interviews:

o Participant 1

o Participant 2

o Relevant witnesses

Each interview is conducted following recognized techniques, ensuring that the information collected is thorough and defensible.

2. Documenting Interviews: All interviews are documented meticulously according to legal standards, ensuring that the evidence gathered is reliable and meets evidentiary requirements.

3. Collecting and Preserving Evidence: The investigator gathers any physical or digital evidence related to the incident, ensuring its integrity is maintained.

4. Providing a Summary Report: A detailed report summarizing the evidence, interviews, and findings is prepared and presented to the client, ensuring the information is factual and comprehensive.

Throughout this process, the investigator applies principles of procedural fairness, informing each party of their rights and obligations regarding confidentiality and privacy. The investigator also presents a summary of the allegations to participant 2, documenting their response to maintain transparency. This rigorous approach ensures that the investigation is thorough, unbiased, and legally sound.

Once the investigation is complete, the investigator debriefs the client, presenting findings and addressing questions. This debriefing session provides clarity and equips the organization with the information needed to determine the next steps.

Cultivating and Maintaining a Healthy Work Environment

When conflicts and behaviours that contradict company policies arise, they need to be addressed. By employing performance management and investigative best practices, your HR team can navigate conflicts effectively and foster and maintain a safe, productive and harmonious workplace.