Top 8 Essential Tips for Effective Workplace Investigations

 

The fallout from the #MeToo movement has led to a renewed focus on workplace culture and conduct, and a recognition that organizations need to do more to ensure that their workplaces are safe, fair and free from harassment. 

In response, many companies have implemented or expanded their existing investigatory processes — so-called “third-party” investigations. These third-party investigators (e.g., Private Investigators) are brought in to investigate sensitive employee complaints about gender discrimination, harassment or other types of unacceptable behavior at the company. 

These investigations can be extremely useful tools when investigating sensitive issues in the work environment. However, many employers struggle with implementation because it’s not just about hiring an investigator — there are best practices you need to follow if you want your investigation to achieve its intended outcome. 

Here are our top tips for effective workplace investigations:

 
Ensure That Everyone Is on the Same Page
You should start by putting some basic policies and procedures in place, so that everyone is on the same page when it comes to how the investigation will be conducted, what the timelines are and what the process will look like. 

This can include: 

·         Consultation with employees: Ask employees to provide feedback on the existing procedures. When and how should they report violations? What is the process for dealing with the complaint? 

·         Consultation with supervisors: Make sure that supervisors understand their obligations to report violations and their role in the investigation process. 

·         Consultation with legal: Confirm that legal is familiar with the investigation process, and has a clear understanding of what is and isn’t required.

 

Don’t Delay the Process
Don’t delay the process. You want to investigate the complaint as quickly as possible, and make sure to get it done before it becomes a “he said/she said” case, where memories fade and facts get lost. 

This means that you should aim to have a third-party investigator start their work within 7-10 days of receiving a complaint. If the complaint is complicated and will take longer to investigate, you may want to consider bringing in multiple investigators to work on parts of the complaint in parallel. 

You may also want to consider working with an outside expert to assess your policies and procedures.

 
Be Transparent
Be transparent about the process, and keep anyone involved in the investigation up to date on the progress of the investigation. This includes keeping the person who filed the complaint updated about the progress of the investigation, as well as keeping the person who is the focus of the complaint informed. 

Be transparent about limitations of the process — e.g., the fact that there may be challenges in getting access to certain information or corroborating certain facts. 

Make sure that everyone involved understands their rights and the process, and has access to help and support, such as trained HR employees or an ombudsperson.

 
Check the Facts and Don’t Assume
Remember, you’re not there to “win” or “prove” a point — you’re there to find out what happened, get the facts and come to a conclusion. 

This means checking the facts and not assuming. You should not assume that people are telling the truth, that certain events didn’t happen, or that certain motivations are behind certain decisions or stories. 

It’s critical to investigate the facts, and make sure that you have the full story. This may involve interviewing multiple people (including the person who filed the complaint and the person who is the focus of the complaint), getting access to relevant documents, and performing other fact-finding activities.

 
Confirm That No Others Have Been Harmed
One of the most important steps in the investigation process is confirming that no one else has been harmed. This means confirming that the complaint is an isolated incident, and that the person who is the focus of the complaint has not engaged in similar conduct with others. 

It’s important to make sure that you are able to confirm this, and to communicate this to the person who filed the complaint and the person who is the focus of the complaint. 

If you are unable to confirm that no other employees have been harmed as a result of the actions of the person who is the focus of the complaint, you may want to recommend that the company take other steps to ensure that other employees are safe, such as providing training or counseling for the person who filed the complaint.

 
Don’t Rush to Conclusions
Remember, the goal of the investigation is to find out what happened and make a decision about what should happen next. This means that you shouldn’t rush to conclusions, and get all the facts before you make a decision about next steps. 

There may be facts that emerge that change the conclusion — you may find out that a statement someone made is untrue, or that there are other facts that you weren’t aware of initially. 

You may want to look at multiple factors in deciding your conclusion — e.g., what happened, why it happened, the motivation behind it (if it’s clear), and what the appropriate next steps are. 

You may want to take the following factors into consideration: - What happened: What is the factual basis for the complaint? What actions or events has the person said happened? - Why it happened? What motivated the person to make the complaint? Was it based on a misunderstanding, a miscommunication, or a malicious intent? 

What the appropriate next steps are. What would be the best way to address the complaint? What corrective actions are needed? What steps need to be taken to ensure that the same thing doesn’t happen again?

 
Take Steps to Prevent Further Harm
As you wrap up the investigation, you should also take steps to prevent further harm. 

If the complaint was about a manager, consider having someone else (e.g., HR) handle the communication with the manager about the complaint, and the investigation results. 

If the complaint was about a supervisor, consider having someone from outside the company (e.g., HR) handle the communication with the supervisor about the complaint, and the investigation results. 

Consider offering counselling or other support to the person who filed the complaint, and the person who is the focus of the complaint.

 
Wrap Up: Lessons Learned and Next Steps
Once you’ve wrapped up the investigation, you should take the opportunity to learn lessons and identify what the next steps are. 

What are the key takeaways from the investigation? What did you learn? What changes can be implemented as a result of what you learned? 

What are the next steps and how can you ensure they happen? How will you hold people accountable for taking action on the findings? 

What else do you need to do? What else do you need to learn? If you follow these steps, you can expect that your investigation will be effective and achieve its intended outcome.