BY-THE-BOOK WORKPLACE INVESTIGATIONS Investigator Toolkit

Intake & Routing Map

Investigation Triage Decision Tree

One repeatable path from the moment a concern comes in to the pathway it belongs on. Built on the C.L.E.A.R. Investigation Framework™. Pin it up. Run every concern through it.

Concern Received
A report comes in
NAVEX intake · direct report · manager referral
C — Capture & Due Diligence
Document the complaint. Gather the initial facts.
Write a clear statement of the allegations. Run a due diligence inquiry before deciding how to proceed.
Gate 1 — Characterize the matter
Which kind of concern is this?
Protected-class matter Employee-relations matter
Sets the stakes and tells you which policy you are testing against.
Gate 2 — The paramount question

"If proven true — if it happened exactly as the complainant described — would it violate our policy?"

The answer routes the concern
Yes — it would violate policy
Formal Investigation
Run the full process. Every step on the record.
  1. Documented complaintClear statement of the allegations.
  2. Notice of investigationTo both parties, with a meaningful opportunity to respond — written and/or oral interview.
  3. Investigate & document the full record
    • Who you spoke to and when
    • Interview summaries
    • Documents and evidence relied upon
    • Policy elements investigated
  4. Reach defensible conclusionsMeasure the facts against policy.
  5. Make recommendations
No — but still problematic
Informal Resolution
No policy violation, but the behavior needs correcting. Choose a non-punitive path.
  • Education
  • Coaching
  • Mediation

Corrective, not punitive — an opportunity to reset behavior.

No — no policy implications
Close the Matter
Not right for a formal or informal path.

Close as non-jurisdictional.

Document the rationale for closure and notify the right people. A closed file still holds up to scrutiny.