Navigating Workplace Investigations: When and How to Deploy

In the realm of leadership, challenges are inevitable. And no challenges are more complex than the ones that involve the human capital of our business. Managing employee problems is an integral part of a leader’s role. How we handle those issues can significantly impact the overall health and success of our team or company. Workplace investigations are one process available to leaders.

While it is essential to address all employee concerns to maintain a positive work environment, some complaints require a formal and structured response. As a result, this process helps to avoid legal problems and promotes a safer, more productive work environment.

What is a workplace investigation?

A workplace investigation is a systematic process of gathering and evaluating information and facts related to a specific incident or concern within the workplace. It involves one or more employees. It is a tool we need to use to address allegations of a range of issues, such as discrimination, harassment, misconduct, theft, fraud, violations of company policy, etc.

What is the purpose of a workplace investigation?

The purpose of the investigation is to determine whether any of our company’s employees engaged in workplace misconduct or illegal behavior and, if so, what we as a company need to do about it.  Our investigation aims to answer some key questions:

– Are the claims or allegations of wrongdoing valid?

– What are the facts surrounding the incident?

– Has the occurrence violated laws or company policy?

– What is a fair and impartial action to resolve the issue?

Ultimately, the goal of conducting a thorough and legally defensible investigation is to help us protect our company from liability and create a safer and more productive work environment.

What are some best practices to keep in mind?

• Take prompt action – erring on the side of action is critical to preventing issues from escalating or compromising the work environment. Delaying our investigation of the situation may also make gathering evidence harder as well as create the impression that we are not taking the issue seriously. In a similar vein, failing to take appropriate action based on the findings of the investigation may create liability for our company and potentially harm our employees’ morale and productivity as a result.
• Choose investigator(s) wisely – selecting a qualified individual or team of individuals who can remain unbiased throughout the process and have no potential conflict of interest is critical to the integrity of the process. Depending on the seriousness and/or scope of the issue we are dealing with, it may make sense to engage an external party to complete the investigation.
• Create a clear investigation plan – developing a structured plan that outlines the scope, timeline, objectives, and methodology we will follow, will keep us focused on what truly matters, ensuring that we do not overlook any critical details or allow irrelevant details to impact the course or outcome of our investigation.
• Document, document, document – capturing the investigation process thoroughly, including all interviews, evidence, etc., and documenting all findings and conclusions in a clear, concise, and objective manner is critical to the legal defensibility of the process and any subsequent action(s) taken.
• Adopt a “need-to-know” mindset – maintaining confidentiality throughout the investigation and sharing information only with those who have a need to know is critical in protecting the privacy of the individuals involved. Failing to protect individuals’ privacy may open the door to retaliation, create a hostile work environment or cause irreparable damage to our company’s climate of trust.

Takeaway

Workplace investigations are a critical tool we have as leaders at our disposal. They are used to maintain a healthy and productive workplace environment by swiftly and fairly addressing complaints of discrimination, harassment, misconduct, or other workplace issues that are raised by our employees. Conducting such an investigation can be, at times, quite a challenging and complex process, but following best practices and/or engaging outside expertise, when necessary, will help us protect our company from liability and create a safe positive space for all our staff.

If you want to discuss an issue you may be currently struggling with, feel free to reach out to us.

To learn more about what it takes to conduct legally defensible workplace investigations, join our upcoming free webinar training. During our November session, our experts will be sharing real-world examples of great (and not-so-great) cases of workplace investigation and highlighting the myriad ways employers can go right or may go wrong in their efforts to resolve workplace issues. Click the button below to register!