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1. A GUIDE TO
WORKPLACE
INVESTIGATION
A COMPANION TO THE INVESTIGATION WORKSHOP
MATHIAS CHAY
Truth fears no questions — Unknown

2. i
A GUIDE TO
WORKPLACE INVESTIGATION
A COMPANION TO THE INVESTIGATION WORKSHOP

3. ii
FIRST EDITION
Copyright © 2015. ALL RIGHTS RESERVED
Reviewed 7 May 2016
No part of this guide may be reproduced, stored in a retrieval system, or
transmitted in any form or by any means, electronic, mechanical,
photocopying, recording, or otherwise without prior written approval from
the author.
Disclaimer
This Guide is designed to provide information on workplace investigation
only and is a companion to the workshop conducted by the Author.
The Guide does not contain all information available on the subject and
has not been created to be specific to any individual’s or organizations’
situation or needs. Therefore, this book should serve only as a general
guide and not as the ultimate source of subject information.
The interviews used as examples in this guide are from the author’s
personal experience and have been modified to maximize learning
outcomes. All names and identifying details have been changed to
protect the privacy of individuals.
Cover and layout designed by the Author
For feedback and workshop’s inquiry, please contact:
Mathias Chay at (65) 9640-1818 Email: chayycm@live.com

4. iii
Acknowledgements
For the past 35 years of my HR working life, I had the opportunity to
talk to many high maintenance workers under different
circumstances. These negative employees, as their supervisors and
organizations termed them, were my best teachers. My job was to
prove, with facts and evidence, they have committed an offense and
then to propose any remedial action if required. However, I have
always been curious to know the motivation for their act. I realized if I
could earn the worker’s trust I would then be able to know the reason
for their deviant action. Once the ‘why’ is answered we will be able to
understand the case better and to judge their deed with impartiality
and compassion. The many stories I showcased in this book are
based on my experience as an investigator.
I have also worked with the Union in many of my cases, and they
have given me valuable insights of workers’ behavior that I would
never have known. I have taken into consideration many of these
insights when making a decision on an outcome of a case. I am
indebted to all of them for giving me the opportunity to work together
in a tripartite way to resolve issues, resulting in an outcome that
benefited all parties.
I am grateful to my ex-colleagues, in particular, Shun Ting, Yen Ling
and Adrian Chia, who helped me to proofread this book.
Sharing my knowledge and experience in workplace investigation
was something I always wanted to do but was not sure how to
begin. In 2013, I was introduced to the Advanced Certificate in
Training and Assessment (ACTA). ACTA was the springboard, and
I am grateful to all the instructors who shared their expertise and
knowledge so passionately. They nudged me to search for better
understanding of trainees’ needs so that I could improve my
facilitation skills.
Best Regards
Mathias

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PREFACE
The story of a little scam that grew
Misuse of medical leave is the bane of employers everywhere, and
many Companies have difficulties managing this common practice.
My greatest achievement as an investigator was busting the Medical
Certificate (MC) scam that happened in June 1998. The scam
involved more than a thousand employees in Singapore. The center
of the controversy was a large public hospital across the causeway in
Malaysia; let us call this Hospital ‘X.' I learned that roadside vendors
sold these fake MCs bearing the hospital logo and name. The
rampant use of these MCs affected the productivity and efficiency of
Government Bodies, Statutory Boards, and Multi-National
Corporations, in particular on the eve or a day after the festive
holidays. Some companies had to curtail their operations because of
this unscheduled high absenteeism.
In desperation, many organizations wrote to Hospital X for verification
of the MCs submitted by their workers, but the hospital did not reply.
One afternoon my Leave Clerk, Lisa came to see me with some of the
MCs from Hospital X. She noticed that 8 of the MCs bore the names
of the same three doctors, but the signatures were different.
I read in the press that many organizations wrote to Hospital X but did
not get a response. Through inquiries, I discovered that the Singapore
Organizations wrote the letters in English, but the official language in
Malaysia is the Malay language or Bahasa Melayu. I then decided to
write in the Malay language a request for assistance to validate the 8
MCs. To my surprise, Hospital X replied after a fortnight stating that all
the MCs were fakes, and they did not have doctors with the names
stamped on the MCs working in their hospital.
A week later we contacted the hospital’s Administration Director and
requested her to help us verify about 500 MCs (received between
January and June 1998). We were shocked when they told us only
5% or about 25 MCs were genuine. The Company terminated all the
employees involved in the scam and took legal actions to recover the
paid medical leave.

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With news of our success in weeding out the deceptive employees, a
hundred other establishments sent their staffs’ MCs for verification.
Hospital X reviewed more than 2000 MCs sent by the Singaporean
Companies, and the majority were fakes. This revelation made
headlines in all the major newspapers.

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In early 1999 a survey of 5000 Companies in Singapore showed a
reduction from 3.2% to 2%, annual medical leave consumption for
1998. The decrease in MC days saved these companies more than a
million dollars.
The MC scam had probably been going on for years and without proof
that the Medical Certificates tendered by the employees were fakes;
management was at a loss on how to respond. When faced with this
kind of situation, sometimes thinking a little out of the box is liberating.
Writing a request in one’s national or local language was showing
respect for the country and replying to us was a display of decorum.

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INTRODUCTION
Welcome to the Workplace Investigation Guide & Workshop
designed for those who are entrusted to address workplace
employees’ issues in the Company.
Supervisors are expected to create an ideal environment for high
productivity and growth. One obstacle that stands in the way is
negative human behavior. Resolving human conflicts, correcting
misbehavior and reducing performance issues can be overwhelming
if you do not know how. A proper investigation can give the supervisor
a solid foundation to create an atmosphere of trust and mutual
respect. It can also help the supervisor confront non-compliant
employees in a fair and transparent manner.
There are many reasons why employees break the rules much to the
chagrin of the Management. When a misdemeanor occurs,
sometimes things are not always what it seems to be. If no proper
investigation is carried out, an innocent employee may be made to
take the blame for something he did not do; this will create suspicion
and mistrust in the workplace. The supervisor will then have a hard
time rebuilding credibility and teamwork.
Human behavior has many dark sides. A perpetrator may commit an
offense to malign another colleague or to spite a supervisor. A
transgressor may have a myopic perception of his surroundings,
thinking that colleagues or supervisor or even the organization has
done him an injustice. Sometimes this may well be true. When these
employees perceived ‘the workplace’ as their ‘enemy,' their deviant
actions may not be readily understood by rational thinking. With a
myriad of reasons for employees’ misbehavior, no wonder
supervisors have a daunting task getting to the root of the problem.
Workplace inquiry involves the tedious task of gathering information
and in a more complicated case, the investigator may need to cover
every possible lead and collect all the facts and evidence possible.
Facts and evidence are like pieces of a jigsaw puzzle; each piece is
essential to construct the picture. When we finished the puzzle, the
picture or the truth or what is close to the truth will emerge. To
discover the ‘truth’ is an integral part of any investigation.

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About the Author
Mathias Chay spent more than 35 years in Human Resource
Management working for Government Offices, Multi-National
Corporations and Public Hospitals. He specializes in the hands-
on management of disciplinary, grievance and performance
issues. In his previous job in Human Resource, he had
successfully concluded hundreds of disciplinary cases including
many Board of Inquiries and Industrial discords.
A Colombo Plan Award recipient in Outward Bound Training, he
headed the school from 1975 to 1979. Mathias is ACTA*
certified and currently conducts courses in workplace
investigation and the management of grievances, deviant, and
underperforming employees. A shrewd observer of human
behavior and adept in resolving conflicts, he has personally
coached reporting officers and supervisors in managing and
counseling recalcitrant workers. This guide, ‘Conducting
Workplace Investigation' is based on his experience in this area
and serves as a handbook to any aspiring supervisor interested
in the field of investigation at the workplace.
*Advanced Certification in Training and Assessment

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Table of Contents
Section Content Page
1 Workplace Investigation – An Overview 1
2 What to Expect from this Guide & Workshop 2
3 Objective and Learner’s Outcomes 4
Self-check revision1 for Section 1 - 3 7
4 The Advantages of a Proper Investigation 9
5 How Workplace Problems Arise 11
6 Appraise the Situation 15
7 Decide on the Type of Investigation 18
8 Gather more Information before the Interview 21
Self-check revision 2 for Section 4 - 8 28
9 Take Immediate Action - Plan, Prepare & Decide 30
10 Conduct Interviews 39
11 Interview the Complainant, Suspect, and Witness 76
12 Gather other Evidence 114
Self-check revision 3 for Section 9 - 12 117
13 Evaluate the Facts and Evidence 119
14 Decide if Misconduct Occurred 130
15 Write the Investigation Report 143
16 Disciplinary Action – Yes or No 149
17 What’s Next? 165
Self-check revision 4 for Section 13 - 16 168
18 Answers to Self-Check Revisions 1 - 4 170
19 References & Web sources 174
20 Glossary 176
Annexes
A- G
A - Incident Report Form
B - Statement Form
C - Document Checklist
D - Investigation Report
Checklist
E – Investigation
Report
F – Chronology of
Events
G – Points to Prove
181-190

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1. Investigation – An Overview
Part 1: What to Expect from this Guide & Workshop
 The Guide & Workshop
 Course Objective and Learner’s Outcomes
Part 2: Pre-Investigation
 The Advantages of a Proper Investigation
 How Workplace Problems Arise
 Appraise the Situation
 Decide on the Type of Investigation Required
 Gather Information before Interviewing
Part 3: Investigation
 Take Immediate Action – Plan, Prepare & Decide
 Conduct Interviews
 Interview the Complainant, Suspect, and Witness
 Gather other Evidence
Part 4: Post-Investigation
 Evaluate the Facts and Evidence
 Decide if Misconduct Occurred
 Disciplinary Action – Yes or No?
 Write the Investigation Report
 What’s Next?

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2. What to Expect from the Guide & Workshop
All truths are easy to understand when discovered; the point is to discover them. —
Galileo Galilei
There are two learning components the Guide, and the Workshop. Both
complement each other and together they will synergize the transfer of
knowledge and skill to the participant.
The Guide covers most of the steps in an investigation and serves as
a reference for trainees managing cases on their own after attending the
workshop. There are four parts:
1. Course Objective and Learner’s Outcomes
2. Pre-Investigation;
3. Investigation
4. Post Investigation
Each part progressively leads the participant to understand the role of
the investigator and the skills and processes needed to fulfill this
function. There are many examples of cases based on the author’s
personal experience, including actual interviews with the complainant
and suspect. At the end of each section, there is a ‘self-reflection’
exercise and ‘self-check’ revision. You can find the suggested answers
to the ‘self-check’ review in Section 17.
Provided in this Guide are ‘tips’ to work smart and ‘cautions’ to anticipate
problems. They are both designed to remind you of things or steps you
may have overlooked:
Tips are insights or actions that can sometimes make or
break an investigation. It is helpful to ponder for a while and
check yourself than to regret not taking an action that can lead
to a positive outcome.

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Cautions are prudent forethoughts to minimize the risk of
jeopardizing your investigation. If it is not going the way you
planned, it is time to stop, think and evaluate.
Participants who are new to the investigation are often ‘tongue tied’ when
‘face to face’ with the complainant or suspect. A set of sample interview
questions is provided to help you overcome this fear. The Guide will show
you the proper way to start an investigation and will help you to arrive at
a carefully considered decision.
The Workshop (Classroom) is a one-day practical session consisting
of case studies, role plays, and actual cases encountered by the author;
these add reality to the Guide. The Facilitator will share his knowledge
and experience, and participants can bring up cases they face in their
workplace for discussion. Trainees will have time to practice asking
probing questions, gather the required facts and evidence, evaluate them
and arrive at a verdict in the role plays. These practices will equip the
participants with ‘hands on’ skills and confidence to conduct an
investigation on their own. In these role plays the facilitator will continually
give participants advice and feedback, stimulating their cognitive
engagement.
Any experienced supervisor will probably know workplace issues are
diverse and perplex, and nobody can offer a solution to every possible
scenario. However, the skills and techniques taught in this guide and
workshop will help you unravel most of these problems.
You will learn to avoid legal issues, and other pitfalls, and most important
to conduct an investigation that complies with the principles of natural
justice.
Note: The author used the pronoun ‘he’, ‘his’ or ‘him’ as a non-gender-
specific address throughout the guide.
STOP

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3. Objective & Learner’s Outcomes
Supposing is good, but finding out is better. ― Mark Twain
Objective:
Conduct a proper workplace investigation
Learners’ Outcomes:
By reading this guide and participating in the workshop, learners
should be able to:
a) Explain the advantages of a proper investigation
b) Appraise the situation or incident
c) Decide on a scale of investigation required
d) Apply the steps needed for a proper investigation
e) Conduct an interview with the complainant, the suspect, and the
witness
f) Write a statement for every interviewee
g) Evaluate the evidence and decide if misconduct occurred
h) Write an investigation report
i) Propose or take appropriate disciplinary action
Introduction to Workplace Investigation
We all know human behavior is diverse and sometimes unpredictable.
Sooner or later there will be a need to carry out an investigation either
formally or informally into some misbehavior at the workplace. Usually, a
complaint or an allegation of an employee’s conduct requires some form of
analyzing but sometimes it may not be just misconduct; it could be an
underlying performance or a grievance issue. Other investigations may
include workplace accidents, or health or safety matters. In this guide, the
focus is on discipline, grievance and performance disputes, not on
specialized health and safety problems. Usually, the Environment, Health,
and Safety (EHS) experts would handle these issues.

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Investigations may also be used to address systemic issues, absenteeism,
unscheduled high absenteeism, persistent lateness and perhaps to unearth
cultural malpractices and other illegal activities.
What is Investigation?
To investigate is defined as to examine, inquire into or study carefully. It is
“a search for the truth in the interests of justice and accordance with the
specifications of the law."
Workplace investigation is a systematic examination of acts, omissions or
events to determine, assess and report on matters relating to staff’s
discipline, performance or grievance.*
*Web Source: http://harmers.com.au/ftproot/images/Harmers%20Introduc
tion%20 to%20Investigations.pdf
A proper investigation thus carries with it the purpose of discovering the
truth, and doing it in an appropriate and acceptable way. The investigator
has to be an impartial fact gatherer and when investigating or submitting
his findings, must observe the principles of natural justice.
Principles of Natural Justice:
a. Accord all staff the right to be heard and the right of defense;
b. All parties must conduct disciplinary proceedings impartially and act
without discrimination or prejudice;
c. Do all disciplinary proceedings in an orderly course and make them
transparent to the staff concerned;
d. Make decisions in good faith.
The need to investigate could be a result of an accusation, alleged
employee’s misconduct or poor performance, or rumor of something amiss.
A complaint can occasionally come from the union or an outside agency.
e.g. the Ministry of Manpower (MOM) or a Member of Parliament (MP), or
even from an employee’s family member or a concerned colleague or
friend. Any of these reported incidents needs some form of investigation.
When a situation requires an internal investigation, there is a need to gather
facts, sort out the details, evaluate the evidence and then finally come to a

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conclusion. Management can then make an employment decision, a
response to the union or an outside organization or person. If an employee
officially lodges a complaint with the Manpower Ministry or sue the
Company, Management will need to prepare a defense in the arbitration
court or civil court. If there is insufficient evidence of any wrongdoing by the
employee, the organization may be fined, and ordered to compensate the
employee. In a worse case scenario, the lawsuit may be made public, and
the institution’s reputation will be affected negatively.
A well-executed workplace investigation can demonstrate to staff the
Company’s commitment to carrying out justice in a fair and objective
manner. This commitment reinforces the trust of the employee and the
organization’s reputation. It is also a reflection of excellent human resource
management and professionalism.
Self-Reflection Exercise 1 (Section 1 - 4)
A proper investigation and subsequent findings
based on a fair and just evaluation can improve
the morale of employees. How can you support
this statement?

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Self-Check 1

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1) What is Investigation?
2) What is the purpose of a workplace investigation?
3) What are the advantages of a well-executed investigation?
4) As an investigator, why is there a need to observe the principles
of natural justice?
4. The Advantages of a Proper Investigation
Wisdom is not acquired save as the result of investigation - Sara Teasdale

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The Tripartite Alliance for Fair and Progressive Employment Practices
(TAFEP) expects employers to treat employees fairly and with respect.
Sound people management practices should embody three important
principles: employee-oriented, law-abiding, and equal and fair treatment.
Through the adoption of good people management practices, organizations
will be able to build up a highly motivated and efficient workforce who will
help enhance the competitiveness and productivity of an enterprise and
sharpen its competitive edge.*
*Web Source: http://www.labour.gov.hk/eng/public/wcp/practice.pdf
When an employer chooses to follow fair employment practices, the
establishment must support the growth of a fair and inclusive workplace. If
employees have grievances or commit an offense or perform poorly, they
need to perceive the organization took action in a fair and just manner.
Conducting a proper workplace inquiry is one of the foundations of sound
people management. An investigation that follows the Principles of Natural
Justice can build trust and respect among employees.
Advantages of conducting a proper investigation
Take the time to investigate as it can offer the company several benefits.
 Self-check system for managers, supervisors, and employees that
they comply with employment laws, and organization policies and
guidelines.
 Avoid the embarrassment by reducing the risk of disciplining or
terminating an employee for something he did not do (things may not
always be what it seem on the surface).
 A prompt, thorough, unbiased investigation and reasonable action
taken based on evidence and facts can remove the perception of unfair
or unjust treatment. Subsequent discipline or termination similarly
based would be acceptable to most employees.
 Reassure employees that all complaints will be investigated fairly and
thoroughly without being bias.
 Reflect the organization’s commitment to other employees that

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Management will investigate all complaints, grievances and
disciplinary cases in a fair and just manner.
 Minimize the risk of legal action by the Manpower Ministry through a
hearing in an arbitration court or a lawsuit brought up by employees
 Avoid creating an adverse or poor image of the company through
employees or ex-employees’ feedback or worse still when a problem
becomes public knowledge through litigation.
A sloppy or biased investigation or inquiry, on the other hand, can work
against an employer by:
 Causing High Turnover
 Upsetting and Demotivating Employees
 Sowing Discord in the Workplace
 Generating Low Productivity
 Creating a Negative Reputation for the Company
5. How Workplace Problems Arise
Never try to solve all the problems at once — make them line up for you one-by-
one — Richard Sloma
Workplace problems can surface in many ways, sometimes directly from the
employees, at other times anonymously. Whatever the source of complaints
one thing is clear; there is a need to investigate. Unless the grievance or

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feedback is not convincing, and there is no truth; otherwise, you must take
action.
Formal complaints
An official complaint usually starts when an employee directly reports a
problem to the appropriate person (typically, the supervisor or someone in
the human resource). One advantage of starting an investigation into a
formal complaint is that you can document the source and nature of the
grievance. A problem that comes directly from an employee gives the
investigation a natural starting point.
Anonymous complaints
Sometimes, anonymous complaints are made through an unsigned note on
the organization’s intranet, a letter or memo to a Manager/CEO, or an
anonymous phone message.
An employee might complain anonymously for many reasons. A harassed
employee might fear retaliation from the wrongdoer who may be a supervisor
or want to avoid being seen as a complainant. Sometimes there is a threat
of violence against an employee who has witnessed illegal activities like
theft, money lending or bribery. He might fear for his physical safety and
may not want to talk to the police or management.
A person not involved in the situation might also make an anonymous
complaint e.g. a concerned colleague might complain anonymously about
some unfair treatment on behalf of a friend who is too fearful to come
forward. Sometimes a customer, visitor, vendor, or client may want to report
misconduct but not want to get involved. Someone from outside the business
environment may make an anonymous complaint e.g. a friend, spouse or
partner. Grievances or information may also come through from the
‘whistleblower’ channel or through feedback from a blogger, Facebook or
Twitter.
Report by employees
Employees especially Managers and Supervisors are the eyes and ears of
the organization in the workplace. They are most likely to witness developing

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problems. In some cases, Managers or Supervisors might hear gossip about
improper activities; sometimes, they hear grievances directly from unhappy
workers.
When an employee informs the Supervisor or the Management of any
problem or a potential problem of misconduct or safety concerns, take action
immediately to deal with the situation. For example, the Supervisor received
a few complaints on one of the male executives who were seen watching
pornography on the office computer after business hours. However, none of
the complainants is willing to give a statement about what they have seen.
Do you think Management should keep silent or is there a need to do
something?
Indirect complaints
An employee who is unwilling to bring out a case will let the Management
knows about a problem indirectly. For example, an employee who receives
a poor performance evaluation might explain that he has been unable to
concentrate at work because of harassment or unfair treatment by the
Supervisor. You should investigate even if these workers are not making
formal complaints; they are revealing a possible workplace problem.
Information from departing workers
An employee who is resigning can be a valuable source of information. For
example, an employee quits, claiming that he has found another job.
However, at the exit interview, the employee revealed that he is a victim of
bullying and racism at the workplace. This reason corresponded with former
workers citing the same explanation for their departure. Once, the employee
is gone, is there a need to look into this?
The answer is a resounding "yes." The complainants’ departure does not get
rid of a potentially volatile situation in the workplace, and it does not mean
that the same departing employee cannot raise this problem to Manpower
Ministry or his MP. The Administrator in the department may not be aware
of the problem or in a worse-case scenario close a batting eye to what is
happening.

23. 13
If the departing workers revealed there is bullying or racism, take steps to
make things right, this augers well for the reputation of the company. It also
paves the way for potential candidates to be able to enjoy working in an
environment where employees are fairly treated and respected.
Workplace observation
Sometimes a workplace problem is evident, but the source of the problem
is not e.g. there are hate messages on the office table, staff missing from
their counters or money missing from the cash registers. In the kitchen
store, food and cutleries often disappear, but nobody talks about it. In
these situations, investigate to find out who is responsible.
Third-party reports (outsiders)
Outsiders such as a customer, visitor, vendor, agency, or even the police
can also bring up problems. It could be a visitor/customer who saw an
employee taking money from the cashier box. Regardless of how a
problem becomes apparent, the company's obligations are the same – if
required, investigate and take action to deal with the situation.
However, if the investigation involves outsiders as a victim or complainant or
witness, modify the procedures (see Section 11 – Interviewing Non-
Employees). If it is a criminal offense, the organization has an obligation to
share the evidence with the police.
Sometimes the police could be investigating an alleged crime committed
by an employee outside his work environment. In this case, co-operate
with the police and let them do the job. If the court decides to charge this
employee subsequently with a criminal offense, the establishment may
then need to make an employment decision based on the facts of the
case.

24. 14
6. Appraise the Situation
The pure and simple truth is rarely pure and never simple - Oscar Wilde
Most workplace investigations may not always require a formal and
comprehensive approach. It depends on the nature of the incident.
Sometimes informal and relatively quick inquiry provides all the information
needed to reach a conclusion and resolution. To determine if (and how
extensively) there should be an investigation, consider some of these
factors:
 Is there a dispute over what happened
 Is the alleged misconduct or grievance serious, and

25. 15
 How were similar complaints handled in the past,
Are the facts in dispute?
The first thing to consider is whether the parties concerned disagree
about what occurred. For example, if one employee accuses another
of making violent threats or racist remarks, and the other employee
denies making them, investigate to figure out who is telling the truth.
On the other hand, if everyone agrees on the basic facts, move on to
figuring out how to deal with the problem.
Sometimes, employees concur with what was said or done but
disagree about what it meant. For example, what seemed like an
innocent request for a date to one employee might have seemed like
harassment to another. Then, these situations call for a closer look.
Find out if the incident is just a one-time miscommunication or part of
a larger pattern of harassment. However, be prepared to adjust the
scope of the investigation to fit the facts. If, after completing the
interviews with people involved and your conclusion is a simple
misunderstanding, then perform a quick inquiry. However, if the
conclusion that the incident is an ongoing misconduct then perhaps a
more thorough investigation is justified.
Is the problem serious?
Sometimes, employees disagree over what happened, but the underlying
problem is not severe. Who left the office lights on last night? Who was
supposed to show up on Saturday to do the inventory? In these
situations, the mere fact that there is a dispute does not mean there is a
need to investigate thoroughly; just talk to the employees involved and
resolve the situation.
If a seemingly minor issue is part of a more serious underlying problem;
go to a full-scale investigation. Using one of the examples above, i.e.
Susan did not come in on Saturday to do inventory because she did not
know that it was her turn. In this case, make sure Susan’s Manager
institutes a documented system when they are assigned to do an

26. 16
inventory, and inform all employees of a roll call or by email. If, however,
Susan knew she was supposed to show up but did not because she is
afraid to work alone with Patrick. He has shown an interest in her and has
harassed her for a date in the past. If the harassment did happen, it could
be a serious issue that calls for a comprehensive fact-finding.
There are many other types of incidents and issues that might warrant
an investigation. These include the violation of policies, ethical concerns
and misuse of property, inappropriate dealings with customers or visitors
or vendors, and others. Although these issues might not involve
potentially illegal behavior, they certainly require a closer look and
possibly, disciplinary action. If there is no investigation into these
allegations, Management has missed an opportunity to root out workplace
problems.
Culture in the Company
Different practices
How are similar problems handled in the past?
Think about similar incidents or complaints in the past, and how the
company investigated and treated them before justifying a decision. It is
prudent to follow the same process to avoid the accusation of unfair or
bias treatment. If complaints to the Manpower Ministry develop later, the
investigator will be able to show that the organization was fair and
consistent with the employees and had handled their grievances with
equal concern.

27. 17
7. Decide on the Type of Investigation
What is right is often forgotten by what is convenient. ― Bodie Thoene
The complainant must determine all the facts and issues before meeting
with the investigator. He must identify who was involved, and give
answers to what, when, where, why and how the incident happened. Get
the complainant to fill up the Incident Report form or help the employee
to do it (see Incident Report Form in Annex A). Use this as an official
document to start the investigation and file it.
In this way, the person is committed to following through the whole
investigation process. Discuss with the complainant and use the facts
gathered to decide whether to do an informal or formal investigation.
Informal Investigation
Typically, a friendly approach will usually result in resolution if the matter:

28. 18
 Is a misunderstanding by the employee of organization policy. For
example, “I did not know these soiled items are bio-hazardous, I
thought it was OK to throw them into the regular bin.”
 Concerns poor communication or miscommunication between the
complainant and the supervisor or a colleague. For example, “I told
Chandra I will be coming in late, and I thought she would inform
Miss Chew about it”.
 Does not need other facts to resolve the issue. For example, “I will
remember to wear gloves when I carry out the Patient Conscious
Level Checks.”
 Can be resolved impartially and timely with no resources needed.
For example, “OK, both of you have agreed on next week duty
roster, I do not want this misunderstanding to occur again.”
 Is responsive to informal resolution. For example, to a new
employee, “Remember, you must put up the signboard before you
open the clinic.”
Even if the event is subject to an informal investigation, it should be
handled just as seriously and expeditiously as a more grave matter. It is
here the employer can prevent the issue from becoming more
complicated and could potentially get out of hand.
Formal Investigation
The following criteria serve as a guide for a formal inquiry:
 The misconduct falls under a grave or serious offense in the
organization’s policy. For example, some small amount of money
is missing from the cashier register. Upon further investigation, it
has been happening regularly and frequently for several months.
Does it call for a formal investigation? The answer is ‘Yes’.
 The possible misconduct or practice could undermine the security
or safety of the employees or customers or system. For example,
a security officer made use of a ‘lost & found’ cafeteria credit card
to buy food. Though the amount may be small, is this a serious
offense? If left unchecked his action could undermine the whole

29. 19
security system. If this practice is leaked out to other employees or
customers or worse still, to the public, the company’s reputation
and the image will be severely affected.
 The documents, protocols, practice need to be reviewed before
more serious consequence occur e.g. the current practice
contradicts the Employment Act or other legal regulations or penal
codes.
All gross misconducts require a formal investigation as the outcome can
lead to an employee’s separation or legal proceeding e.g. theft cases,
misappropriation of organization’s fund or money. Even if an employee
confessed to committing a major offense, it is a good practice to convene
a Board of Inquiry to give the person a fair hearing. (See Section 19,
‘Board of Inquiry or BOI’). Remember, any disciplinary framework must
be anchored to the principles of natural justice (see Section 3 ‘Principles
of Natural Justice’).

30. 20
8. Gather more Information before the Interview
Information is the resolution of uncertainty. - Claude Shannon
An Investigation is gathering information, and these can come from many
sources. The list below is not exhaustive.
Documents
Before interviewing the employees involved in the incident, complaint or
grievance, check the employee’s personnel file (P-file) e.g. his resume,
work & family history, disciplinary records and annual performance
appraisals. This information will provide a profile of the employee and
other vital facts about his performance and behavior.
Information available on the internet
The employee’s internet account like Facebook allows a peek at the
person’s interests, hobbies, and friends. In Facebook, the incumbent
could store pictures or sometimes give a description of his personal life
and events. The recording of events can serve as a diary, offering
nuggets of information on what a person does during weekends and
after office hours. Also, negative comments by the employee in his
Facebook may show facets of behavior not known to the supervisor
while at work.
Feedback from the Supervisor and Manager
The Supervisor is a good source of information if not implicated in the
investigation; he will be able to provide insights into an employee’s
behavior and performance e.g. unscheduled absenteeism, lateness,
and performance records. Other areas of teamwork and family
background are excellent information.
However, the investigator has to be careful. Some Supervisors can be
biased, and it is good to seek verification of the employee’s character
based on past incidents and facts. Do not accept hearsay or speculative
information.

31. 21
CCTV footages
View the CCTV footages if these are available, especially in theft and
cheating cases. Sometimes the investigator may need to spend hours
scrutinizing the footages before he can catch the culprit in the act based
on a few split seconds’ images. In a large building, security cameras are
usually located in a sequence; one may need to watch several cameras’
footages before the story starts to unfold.
Caution!
Be careful how you use your CCTV footages
Sometimes CCTV footages do not reveal the truth about what
transpired. If you see someone remove a mobile phone lying
on the table, you will be tempted to confront the employee
immediately with this evidence. However after taking the phone,
the person could be too busy to give it to Security or his
Supervisor and conveniently locked the phone in his drawer for
safe keeping, intending to give to his Supervisor later. If you
confront the employee with the CCTV footage, it is as good as
accusing him of stealing the phone. Always interview the
employee first and allow him to tell you what happened. There
could be a logical and legitimate reason for him to keep the
phone temporary, e.g. he may be too busy at that moment.
Depending on the cause and circumstances, sometimes you
may not need to confront an employee with the CCTV evidence.
If you do, gather all the facts before showing the employee the
footage and always allow him to explain what happened first.
EXAMPLE
Missing Cosmetics
A Senior Manager of a large hospital complained to Security that her
set of expensive cosmetics which she just bought was missing. The
cosmetics were inside a white paper bag. She said while returning to
STOP

32. 22
the office after purchasing the cosmetics; she visited the restroom to
freshen up and left the bag beside the wash basin, forgetting to bring
them out with her. Forty minutes later, the Manager remembered about
her cosmetics and went back to the restroom to retrieve the bag, but it
was no longer there. She then requested to view the CCTV footages in
front of the toilet, hoping to see someone leaving the restroom with her
cosmetics.
The footages showed 5 minutes after she left, a Customer Service
Ambassador (CSA) went to the restroom and came out 10 minutes later.
After that, other visitors were seen walking in and out of the toilet
intermittently. There was another CCTV located in front of the lift about
20 meters away. This CCTV showed the CSA holding what looked like
a small white plastic or could be a paper bag behind her. They could
only see a little corner of the bag. Then she went in the lift and
disappeared from view. The Manager suspected the CSA had taken her
cosmetics and was trying to hide the bag intentionally, knowing that
there is a CCTV at the lift’s entrance. She was adamant the bag held by
the CSA contained her expensive cosmetics and requested Security to
find her and retrieve the package. Unfortunately, by the time they
finished viewing the two CCTVs, the CSA had left the hospital.
The next day, the CSA Supervisor, Beatrice and I interviewed Ivy
(fictitious name), the person identified from the CCTV footage. Ivy was
in her fifties, elegantly dressed and pleasant looking. The following is
an extract from the interview:
Mathias: “Good afternoon Ivy, I am Mathias from Human Resource
Department.”
Beatrice: “You know me I am Beatrice, your Manager.”
Ivy: “Yes, is there anything wrong?” (looking anxious and wanting to
know what is happening).
Mathias: “Ivy, no there is nothing wrong. We need your help to clarify a
matter. Can we speak to you for a while?” (casually assure the

33. 23
employee there is nothing wrong, and HR only want to seek her
assistance).
Ivy: “Sure, if there is anything I can help.”
Mathias: “Can you tell us in detail, what you did yesterday afternoon
between 5.30 pm to around 6 pm?”
Ivy: “Is something wrong? Did I do anything wrong? What is this all
about?” (showing concern and wanting to seek more information).
Mathias: “Ivy trust us, there is nothing wrong. You tell us exactly what
you did yesterday between 5.30 pm or there about to 6 pm (do not
reveal the reason for the conversation unless you have to).”
Ivy: “OK, but later you must let me know what is this all about” (feeling
more assured).
Mathias: “Sure Ivy, we will let you know.”
Ivy: “I finished work at 5.30 pm. I will usually walk to the restroom near
the X-ray department as it is cleaner with fewer people. Once inside the
toilet, I will do my usual routine i.e. ease myself and then remove my
compression stockings. I am suffering from varicose veins. My Doctor
advised me to wear these socks to support my legs (she turned her chair
slightly to the right, straightened her leg and pointed at her compression
leggings). I have to stand for long hours in the workplace and without
them, I can feel the pinching pain in my legs after an hour of standing.”
Mathias: “What happens after you remove your stockings in the
restroom?”
Ivy: “What do you mean?” (Ivy was getting upset).
Mathias: “Ivy, I do not mean to annoy you or intrude into your privacy.
I am sorry if you feel that way. (pause to see her reaction. Do not carry
on the conversation if the interviewee is upset. You need to calm her
down). What I meant was, where do you usually put your stockings? Do
you put them in a handbag or inside your pocket or something like that?”

34. 24
Ivy: “We are not allowed to carry our bags to the working place. We are
given a locker to keep these things.”
Mathias: “So do you keep the stockings in your pants’ pocket or
somewhere?”
Ivy: “I carry a small plastic bag to put my socks.”
Mathias: “Do you always have this plastic bag with you? Do you have
it now?”
Ivy: “Yes (taking out a white neatly folded plastic bag from her pocket).”
Mathias: “Ivy, when you were in the toilet, did you chance to see a white
package or bag next to the wash basin?”
Ivy: (silence) “So you suspect I took the bag?” (getting upset and
angry).
Mathias: “Ivy, this is an investigation. We will be questioning all staff who
visited the toilet around the time the parcel was missing. You happened
to be the first to visit the restroom after the victim left; this is the reason
we are speaking to you now. Please tell us, did you see a white small
paper bag next to the wash basin.”
Ivy: “No, I did not see any bag. Usually, I perform my routine and leave
the place immediately. I have to rush home to cook for my children. Can
I go now?”
Mathias: “Sure Ivy. Thank you for talking to us. I appreciate you taking
your time off to come here. Please keep this conversation confidential.
Goodbye.”
Ivy: “OK, bye.”
Conclusion
Do you think Ivy took the cosmetics bag? There was no indication in her
demeanor or replies to indicate anything suspicious. Her explanation was
direct and logical. There was evidence to support what she claimed, i.e.
her compression stockings and the white plastic bag she carried. We
have no reason to disbelieve her story.

35. 25
The CCTV footage only showed a small corner of a white colored bag
and its low resolution made it difficult for us to differentiate if the bag
was of plastic or paper material. Thus, we could not confirm if it were
the same bag that contained the cosmetics belonging to the Manager.
In this case, the CCTV footage did not tell the complete story. We need
to talk to the suspect and witnesses first to fill in the gaps. Only after we
have gathered sufficient evidence, we should not confront or accuse the
person of an offense using the CCTV footage. If the footage directly
shows her removing or apparently carrying the item, get her to sign the
statement first before confronting her for inconsistencies in the CCTV
footage and her account (see Section 10, Note and Statement Taking).
Evaluate the collected information
When you have all the preliminary data available, evaluate them with an
open mind and be willing to accept all possibilities. Human behavior is
complex, and a person can be capable of all kinds of deceit and secrecy.
Putting all the information together can help to shed some understanding as
to why an employee behaved in a certain way e.g. an employee regularly
does not complete her assignments, comes late and frequently takes
medical leave. She also claimed she is suffering from depression (producing
a private psychiatrist’s note to prove this). However in her Facebook
account, she posted pictures of herself with friends at parties and on holiday
trips, looking cheerful and happy. At the ward, she openly told her colleagues
she does not like the work she is doing and is currently pursuing an
accountancy degree. From her Personal file, it was revealed that the
employee is currently serving a 3-year bond, having completed her hospital
sponsored nursing degree course seven months ago. Her action is to coerce
the organization’s response to terminate her; she perceived by doing this
she could avoid paying liquidated damages for breaking her bond.

36. 26
Pen your thoughts here…
Self-Reflection Exercise 2 (Section 5 - 8)
“We should ignore anonymous complaints as there
is no one we can identify for an interview”. Do you
agree or disagree? Explain why?

37. 27
1) How can a proper workplace investigation contribute to fair
management practices?
2) Why do you think an employee complains indirectly and
anonymously?
3) How do you appraise the situation?
4) What are the considerations that can help you to decide if you
should do a formal or informal investigation?
5) Where are the sources you can collect information before you
start doing an investigation?
Self-Check 2