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Workplace Investigations

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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Who is this resource for?

Anyone performing workplace investigations. You may be an HR professional, a leader, or another member of the community who is responsible for investigating workplace issues. If you are not sure whether this resources is for you, ask.

When do I use this Resource?

This resource is a guide that will help you move through an investigative process. Your unit may have specific processes in place. If you are not an HR professional, check with your unit HR person to ensure that you are following all relevant processes.

This resource is not meant to be used in matters involving unionized employees.

Why does this resource exist?

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  • Accountability: When employee concerns can be handled within your unit, it is a best practice to ensure that all actions are documented and the proper information is available for all parties involved.
  • Support: The University provides a number of resources and by fully understanding the situation, you can be sure that your employee is being referred to the proper experts regarding their concern.

Keep in mind, Labor Union concerns may need to be handled differently.

If your workforce is part of a union, there might be differing required processes or grievance procedures outlined in those contracts related to what has been reported.  Notify your HR representative to assist in evaluating how to proceed unless it is an issue of workplace safety, in which case 911 or DPSS should be contacted immediately.   You should also ensure that unionized employees have the right to union representation in investigatory meetings that could result in discipline.  The process for fulfilling this requirement can vary depending on their contract, and your HR representative should be consulted for guidance.

If you are not an HR professional and have questions, contact your unit HR person.

Best Practices for Responding to an Employee Concern

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Remain neutral and factual.

  • Acknowledge receipt of the concern.
  • Explain next steps to the impacted party.
  • Do not promise outcomes.

Remember to lead with humanity.

Navigating a workplace concern can feel overwhelming, confusing, and sometimes isolating. You are not alone—the University of Michigan has resources to support everyone, whether you’ve raised a concern, been impacted by a situation, or are responding to an allegation.

If there is ever a concern for immediate safety, please call 9-1-1.

 

REMEMBER: Concerns of discrimination, discriminatory harassment, sexual misconduct, or related retaliation must be reported to ECRT.

You received a report about an employee concern. Now what?

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  • If you aren’t sure whether you can be impartial, or have questions about whether you have a conflict, you may wish to contact Samuel Baker, Associate Director of Investigations.
  • If so, speak with the unit who has reviewed the concern before taking further action.

REMEMBER!
Answers to these questions may change based on new information. Come back to them as needed!

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REMEMBER!
All information learned through this process should only be shared with people or offices who need to know.

Does the allegation, if true, constitute a potential violation of an SPG, departmental policy, regulation, law or other documented University expectation, therefore requiring an investigation?

Use the toolkit. Seek support if needed.

Because: 

  • Policy was not violated, no other issues to address OR
  • There was a miscommunication or lack of communication that has been remedied OR
  • The complaint is based on a business decision OR
  • Someone misunderstood a policy OR
  • Something else

 

  • Utilize a non-investigative option, where appropriate and feasible OR
  • Notify Respondent (person about whom the report was filed) but take no further action

When possible, speak to the Complainant (impacted party) to better understand their concerns.

Questions to Consider:

  • Who is involved?
  • Where did the incident(s) occur?
  • What happened?
  • When did the event(s)/issue(s) occur?
  • What else should I know?

Now that you have more information, you can reassess.

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

Guide for Documenting an Employee Concern

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
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