Managers at one point in time will be faced with a workplace incident that requires investigation: allegations of workplace harassment, discrimination, injury, accident, theft, or act of violence. Unfortunately, many managers react in one of two ways, which are equally damaging: ignore the issue or react immediately, often by firing someone, without investigating the situation.
Conducting thorough and proper workplace investigations is essential: failure to properly investigate a wrongdoing can come at a high price. In extreme cases like theft or fraud, it’s imperative to start an investigation to stop losses and in cases that involve discrimination or harassment, prompt investigation is critical to prevent increased legal liability for the employer.
It can be difficult for employers to know how to properly tackle a situation that may require a workplace investigation. These five steps can help you lay the groundwork for a reasonable and ultimately successful investigation.
Step One is to figure out what the problem is and determining whether an investigation is necessary. Defining the problem or allegation you need to investigate is important because it will help you figure out how to go about conducting the investigation. A few questions to ask yourself… is the investigation about a complaint, accusation, or a rumour? Is it a simple issue or a complicated allegation like sexual harassment? Answering these questions will help you move to step two.
Step Two is to research any relevant company policy to build a framework for your investigation. Most large organizations will have corporate policy that governs complaints, etc. that result in investigations. Use the policy to effectively build a plan to investigate the problem. If your organization doesn’t have a policy, then put together an investigative plan that follows common industry principles. (Or get Fusion to help with your investigation.)
Step Three is to interview the complainant and any individuals with knowledge of facts. This is probably the most important aspect of the investigation, so it’s imperative that you as the investigator are prepared. Ensure that you explain to the people you are interviewing why they are involved in the investigation and how their assistance will help.
A good approach is to ask open-ended questions to everyone you interview, and follow up with narrower questions. It’s important to remember to ask each person to provide any related documents they may have.
Step Four is to decide if any corporate policies were violated or any provincial or federal laws. Once you’ve concluded your interviews, review your findings against the policies referenced in step two. In the absence of a company policy, review the law or consult a legal professional to assist you in finding out if any laws have been broken. Preparing an investigation report at this point can also help with ensuring that everything has been documented if the investigation needs to go further.
The Final Step is to take appropriate action and follow-up. If any corrective measures are needed, ensure that there is a plan to make it happen. Some appropriate outcomes could be: training, disciplinary action or creating new policies. It’s also a good idea to follow-up with employees to let them know that an investigation was done and that the company takes all complaints seriously.
Above all, taking the time to prepare and properly conduct a workplace investigation is best for all parties involved. It will also go a long way in avoiding potential liability, improving employee morale and mitigating risk.
Manager Tips
- Don’t ignore problems – often everyone is aware of an issue before a serious incident occurs;
- Make sure you treat everyone fairly and with respect;
- Get all the facts before you make a decision;
- Keep your investigation as confidential as possible;
- Follow-up by reviewing your workplace policies;
- Conduct supervisor and employee training to prevent future problems.
