As an HR professional, one of the critical tasks is conducting workplace investigations. When these investigations conclude, a formal document summarizing the findings is essential. This document is often called a Sample Letter Of Investigation Findings. This letter serves as a record of the investigation process, its conclusions, and any subsequent actions that will be taken. It is a crucial part of maintaining a fair and compliant workplace, ensuring that all parties involved understand the outcome of the investigation.
Key Components and Importance
A well-structured Sample Letter Of Investigation Findings provides a clear and concise overview of the investigation. It typically includes several key elements to ensure clarity and accuracy.
First, the letter should clearly state the purpose of the investigation. This usually involves identifying the specific complaint or issue that triggered the investigation, such as allegations of harassment, policy violations, or other workplace misconduct. Next, the letter outlines the scope of the investigation, detailing what aspects of the complaint were examined and who was interviewed or involved. Finally, the findings section presents the conclusions drawn from the investigation, based on the evidence gathered.
The findings are presented in an objective manner, based on facts and evidence. This section details what was discovered during the investigation, including witness statements, documents, and any other relevant information. The letter concludes with a summary of the findings and, if necessary, outlines any disciplinary actions, recommendations, or other steps that the company intends to take as a result of the investigation. The accuracy and thoroughness of this Sample Letter Of Investigation Findings are incredibly important because it can protect the company and individuals involved from future legal issues and promote transparency.
Here’s a breakdown of important information to include:
- The date the investigation started and ended.
- Who conducted the investigation.
- A summary of the allegations.
Example Letter of Finding Regarding Harassment Allegations
Subject: Investigation Findings – Harassment Allegations
Dear [Employee Name],
This letter summarizes the findings of the investigation into the allegations of harassment you made against [Accused Employee’s Name] on [Date of Complaint]. The investigation was conducted from [Start Date] to [End Date].
Allegations: You alleged that [Accused Employee’s Name] made inappropriate comments and created a hostile work environment. Specifically, you cited [Specific Examples of Harassment].
Investigation Process: The investigation included interviews with you, [Accused Employee’s Name], and [Witness Names]. We also reviewed [Relevant Documents, such as emails or company policies].
Findings: Based on the evidence gathered, we found that [State the findings, e.g., “the allegations were substantiated,” “the allegations were not substantiated,” or “some of the allegations were substantiated”]. [Provide Specific Details Supporting the Findings. For example: “Witness testimony from [Witness Name] corroborated your account of [Specific Incident]. However, evidence does not support all of your claims.”]
Conclusion: Based on the investigation’s findings, we have determined that [State the conclusion. For example: “the company policy on harassment was violated.” / “the company policy on harassment was not violated.” / “we found some violations but not others.”].
Action Taken: [Describe any disciplinary action taken, e.g., “As a result, [Accused Employee’s Name] will receive a written warning and will be required to attend harassment training.” / “No disciplinary action will be taken.” / “We are taking the following action: [Action]”].
We appreciate your cooperation during this investigation.
Sincerely,
[HR Manager Name]
Example Letter of Findings Following a Policy Violation
Subject: Investigation Findings – Policy Violation
Dear [Employee Name],
This letter summarizes the findings of our investigation into the alleged violation of company policy on [Policy Name] that occurred on [Date of incident].
Incident: It was reported that you [Describe the alleged policy violation. e.g., “accessed company systems without authorization,” or “violated the dress code,” or “used company property for personal use.”]
Investigation Process: The investigation included a review of [relevant evidence, e.g., system logs, witness statements, etc.] and an interview with you.
Findings: Based on the gathered evidence, [Clearly state findings, e.g., “We have determined that the policy on [Policy Name] was violated,” or “the allegations were unsubstantiated.”]. [Provide specific details and evidence to support the conclusion. For example: “Our review of the system logs indicates that you accessed [specific files/systems] without proper authorization.”]
Conclusion: Based on the investigation, the conclusion is [Summarize the findings].
Corrective Actions: [Describe any consequences. For example: “As a result, you will receive a written warning, and you will be required to complete additional training on company policies,” or “No disciplinary action will be taken at this time.”].
Sincerely,
[HR Manager Name]
Example Letter of Findings Regarding Attendance Issues
Subject: Investigation Findings – Attendance Issues
Dear [Employee Name],
This letter summarizes the findings of the investigation into your recent attendance record.
Background: We initiated an investigation due to concerns regarding your attendance record, as indicated by multiple instances of [Describe the attendance issues, e.g., “unexcused absences,” “tardiness,” or “early departures.”] within [Time Frame].
Investigation Process: The investigation included a review of your attendance records, and an interview with you on [Date].
Findings: Based on the gathered information: [Clearly state findings. For example, “The investigation confirmed your attendance record reflects [Number] unexcused absences within the last [time period], and [Number] instances of tardiness. We’ve also assessed the following factors: [factor 1, factor 2, factor 3]…”.].
Conclusion: Considering the attendance records and the information gathered during the investigation, we have come to the following conclusion: [Summarize findings. For example: “the attendance record is not meeting the company policy and expectations, but it is not a violation since [reason]”].
Action Plan: [Outline any actions to be taken. For example: “A performance improvement plan is being put in place to address the issue, we will [specific actions].”].
We encourage you to improve your attendance record.
Sincerely,
[HR Manager Name]
Example Letter of Findings Following a Performance Review
Subject: Investigation Findings – Performance Review Follow-up
Dear [Employee Name],
This letter summarizes the findings of the investigation conducted following your recent performance review on [Date of review].
Background: Your performance review, conducted by [Reviewer Name], highlighted areas for improvement and included the following concerns: [List the key performance concerns identified in the review, e.g., “meeting deadlines,” “quality of work,” “communication skills”].
Investigation Process: The investigation involved a review of your work product, a review of [relevant evidence, e.g., feedback received, project outcomes, etc.] and discussions with [involved people, e.g., the reviewer, your supervisor, etc.].
Findings: Based on the review of the information: [Clearly state the findings. e.g., “the concerns raised in your review were largely corroborated by [evidence, e.g. project documentation, client feedback] and discussions. We did note [positive points or areas where you are meeting expectations].” ].
Conclusion: Based on the information, the conclusion is: [Summarize the findings, e.g., “This review confirms areas of improvement in your performance.”].
Improvement Plan: [Detail any action plan developed to improve performance. e.g., “You will receive additional training, or we will need to [actions]…”].
We are committed to supporting your development. Please follow the action plan, or you will need to be involved in our progressive discipline.
Sincerely,
[HR Manager Name]
Example Letter of Findings Related to Workplace Safety
Subject: Investigation Findings – Workplace Safety Incident
Dear [Employee Name],
This letter summarizes the findings of the investigation into the workplace incident that occurred on [Date of Incident].
Incident: On [Date], there was an incident reported regarding [Describe the incident, e.g., “a near miss involving a falling object,” or “an injury during the use of [equipment]”].
Investigation Process: The investigation included interviews with you, [Witness Names], a review of [relevant evidence, e.g., safety logs, equipment maintenance records, and videos].
Findings: Based on the information gathered: [State findings. For example: “We have determined that [Describe the findings, e.g., the incident occurred due to [cause], such as a failure to follow safety procedures, or equipment malfunction, or unsafe behavior.”].
Conclusion: Based on the information, we have to determine: [Summarize findings, for example, whether or not safety procedures were being followed or if the equipment functioned correctly].
Corrective Action: [Describe any corrective actions. For example: “We will need to [actions, e.g., review the training on safety procedures]…”].
Your cooperation in implementing these actions is appreciated.
Sincerely,
[HR Manager Name]
Example Letter of Findings for a Theft or Misappropriation of Property
Subject: Investigation Findings – Allegation of Theft/Misappropriation
Dear [Employee Name],
This letter summarizes the findings of the investigation into allegations of theft or misappropriation of company property, which were made against you.
Allegation: It was alleged that you [Specifically describe the allegation. For example: “removed [item] from the premises without authorization,” or “misused company funds for personal gain.”].
Investigation Process: The investigation involved the review of [List evidence used. E.g., “security footage, inventory records, and financial transactions.”] and interviews with you and [Witness Names].
Findings: Based on the information, [State findings. E.g., “We have determined that there is sufficient evidence to support the allegation that you [Specifically state the finding, e.g., “removed company property without authorization.”].”].
Conclusion: [Summarize findings. E.g., “The evidence indicates that the allegation against you is supported by [evidence used, e.g., “security footage and inventory records.”]”].
Action Taken: [Describe any disciplinary or legal action. E.g., “As a result, your employment with [company name] is terminated effective immediately. We will be pursuing [legal action, if applicable].”].
Sincerely,
[HR Manager Name]
In conclusion, a well-drafted Sample Letter Of Investigation Findings is a crucial tool for HR professionals. It’s a factual, concise, and professional way of communicating results of investigations and any actions to be taken. Remember to always be fair, transparent, and thorough when creating this letter, as it’s a very important document for all the stakeholders involved.