While workplace investigations used to be reserved for only the most serious offenses (like fraud or sexual harassment), today’s workplace investigations have become the norm for almost all grievances. Common events that usually warrant a workplace investigation include employee misconduct, human resources investigations, workplace disputes, workplace harassment complaints, workplace discrimination, and theft and misuse of assets.
Workplace investigations can serve many purposes, such helping employers figure out what happened and how to manage the situation. These investigations can also help in avoiding liability for employee wrongdoing, as well as providing an important safeguard to employees’ rights to procedural fairness.
A successful workplace investigation allows an employer to take appropriate action and helps mitigate negative consequences. Let’s learn how to conduct an investigation in the workplace:
Step #1: Take Immediate Action
It’s imperative that employers act right away, no matter what the allegations are. The longer you wait to act, the larger the risks. For example, if someone has made allegations alluding to sexual harassment in the workplace, it’s usually in the employer’s best interest to suspend the employee in question (with pay) until the matter is settled.
Although a necessary step to show the potential victim that you’re taking them seriously, be careful not to make any conclusions upfront. The accused employee is entitled to a full investigation before your mind is made up.
Step #2: Choose the Investigator
Do you have the resources to handle the investigation internally? If so, make sure the person you choose to head up the investigation is trained in workplace investigations, can remain neutral, make a fair decision, be thorough and work promptly. It’s also essential that they act professionally during the investigation and do not discuss the case with other employees.
If you do not have the resources to handle the investigation internally, you can opt to hire an outside investigator. There are many benefits to doing so which include having someone who is highly trained in workplace investigations and is very knowledgeable, is up-to-date on the changing landscape in the workplace, and able to conduct proper interviews (reducing the possibility of future litigation claims if the investigation is not conducted properly).
Step #3: Plan the Investigation
For the next step on how to conduct an investigation in the workplace, you’ll need to start the planning process. Take this time to organize all the moving parts and details about the incident. Get organized and start to put together any evidence, schedule interviews, and speak with any witnesses, if applicable.
Step #4: Gather and Evaluate the Evidence
Depending on the incident, the evidence you have may vary. If you have cameras in the workplace and the offense in question is sexual assault, you may have evidence recorded. Maybe the event was discussed in email, or the person has some notes in their personnel file from previous incidents.
Other employees may have saw or heard what was going on and you may have witness testimony. It’s important to any workplace investigation that all appropriate evidence be gathered. Then, evaluate the evidence to determine its merit and influence in the case.
Step #5: Conduct Interviews
Conducting interviews is essential in establishing responsibility and liability in a workplace investigation. Some of the goals of conducting interviews include providing an opportunity for the accused employee to explain the situation, gather evidence from employees and gather evidence from any third-party sources.
Step #6: Protect Confidentiality
Another very important step in workplace investigations is protecting confidentiality. Like previously mentioned, you want to make sure the investigator is not discussing the case with other employees. Not only is that unfair to the employees involved, but it opens you up to future litigation.
Ensure that all evidence is stored under lock and key and that only people involved in the investigation have access to it. It’s also a wise decision to create a log to be filled out each time the evidence is accessed.
Step #7: Decide on Course of Action
Once you have gathered and evaluated all the evidence and conducted interviews, it’s time to decide on a course of action. During the decision process, make sure to take certain things into account such as the severity of the event in question and how similar situations were handled in the past. If you conclude that serious wrongdoing occurred, it’s important to take appropriate action quickly.
Step #8: Document the Investigation
It’s usually easiest if you have a dedicated person for note taking. Ensure they are present and taking notes for all interviews. As you go through the evidence and evaluate it, have your note-taker present to record any findings. Properly documenting workplace investigations ensures transparency and fairness. Have these notes at the ready to refer to throughout the process. If your investigation ever gets questioned, these notes will come in handy.
Following these eight steps will help you conduct a successful workplace investigation that is fair to all parties involved.