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The Workplace Investigations Toolkit

Use this resource to help you navigate an employee concern. Your unit may have a specific process for responding to employee concerns. If you need assistance, contact your unit HR person.

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SHOULD ANOTHER UNIT REVIEW?

Certain types of reports need additional review by area experts. Use the below list to determine whether the report you received needs to be shared with another office.

If...
Then...
If...

Physical safety is a concern or a potential crime has been reported

Then...

IN AN EMERGENCY, DIAL 911

Notify DPSS

If...

Discrimination or sexual misconduct is reported

If...

The concern is related to patient care

Then...

Contact Patient Relations

If...

An interpersonal and/or employment related issue arises, and you aren’t sure what next steps should be

Then...

Contact your HR Person

If...

If the accused person is your supervisor, or their position sits higher in the institutional hierarchy than yours

Then...

Contact Hotline

If...

You aren’t certain who is best positioned to respond

Then...

Reach out to [email protected]

Non-Investigative Responses

An investigation is required when there is a violation or suspected violation of an SPG, departmental policy, regulation, law or other documented university expectation.

Not all behavior that causes concern is a policy violation, and not all concerns require an investigation. Sometimes the most effective response is a proactive step to address issues early and support a healthy work environment. Here are some non-investigative options:

Coaching: provide support for an employee whose behavior is impacting the team’s or another employee’s performance

  • one-on-one resolution to guide the Respondent
  • contact HR for support if needed

Facilitated Conversation: Two or more employees are experiencing miscommunication or less elevated interpersonal conflict

  • If needed, seek support from HR or the Ombuds before facilitating a conversation between two employees

Mediation: Two or more employees are experiencing elevated or escalated conflict, and a trained, neutral third party would be helpful

Education: A concern arises out of an employee’s lack of knowledge or skill – either in how to navigate interpersonal relationships, skills for their role, or UM systems

  • Use established education resources
    • Organizational Learning
    • Ethics, Integrity, and Compliance Office
    • Prevention, Education, Assistance and Resources
    • Equity, Civil Rights, and Title IX
    • LinkedIn Learning
    • Human Resources
  • Contact [email protected] if you aren’t sure which resource is best

Resource Referral: An employee is navigating some additional stress in or outside of work

  • Offer connections when appropriate
    • Faculty and Staff Counseling and Consultation Office
    • Ombuds
    • Office of Counseling and Workplace Resilience

Documenting an Employee Concern

Guiding Principles

  • Consider other processes or procedures that may apply. Consider whether a specific grievance procedure may apply to your situation, especially if your workforce are members of a union. If it does, follow that process.
  • Capture the concern clearly. Write a brief, factual summary of the issues raised.
  • Consult as needed to decide on the appropriate next step; if not referring or investigating, document your reasoning. Determine whether the concern should be referred, closed, or investigated further. Document why you chose that next step, using simple, neutral language.
  • If you investigate, document. Keep notes of all conversations with the impacted party, accused party, and any witnesses. Track any documents or other information you review.
  • Reach a clear conclusion. Summarize what you found and how you reached that determination.
  • If a policy or expectation was violated, note what happens next. Briefly describe any corrective action recommended or taken and the rationale.
  • Maintain confidentiality and secure records. Store documentation in an appropriate, protected location.

Even if you do not take any other action, documenting concerns is a best practice.

Information you will collect includes:

  • A Summary of the Concern / Allegations
    • Captured through brief, factual descriptions
  • Initial Triage Decision
    • What next steps were taken?
    • Why did you make the decision you did?
  • Steps that were taken if an investigation was conducted
  • Conclusion
    • What was the outcome?
    • What corrective action, if any, did you take?

Download this template to support proper documentation.

 

Documenting an Employee Concern Template

Investigative Process Resource Guide

Recommended Timeline

  • Start within 1-2 business days of receiving the concern
  • Aim to complete within 20-30 business days. Some investigations may, for good cause, require additional time.

Remember:

  • All information learned through this process should only be shared with people or offices who need to know. If you are unsure who needs to know, contact HR.
  • Not all boxes need to be checked for every investigation that you undertake. If you need assistance, contact your HR representative.

Download this template to ensure proper action is being taken.

 

Investigative Process Resource Guide

Resources for Navigating Workplace Concerns

Provide this information to any employee who has been impacted by a reported concern: 

Ann Arbor Campus + Michigan Medicine Dearborn Campus Flint Campus

In all cases, document reason for closure and steps taken. See documentation guidelines for more information.

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