What is a Workplace Investigation?
A workplace investigation is an employer based process that is conducted after receipt of a complaint, allegation or incident that occurred in the workplace or related to the workplace. The allegation, complaint, or incident can be of the following nature, but not limited to:
Workplace Harassment,
Discrimination (based on age, gender, sex, sexual orientation, race, religion, etc.),
Bullying,
Threatening,
Assault,
Sexual Assault,
Theft,
Fraud,
Policy Violation
Etc.
The investigation is usually conducted by the organizations Human Resources Department but if there is any risk or biases, the employer can seek the assistance of an external investigator to ensure nutrality during the process.
Workplace Investigation Process
Review the Complaint/ Allegation/ Incident
Depending on the individual organizations reporting process, the complaint may be received formally through a designated process or informally through level’s of management, Once received, the Human Resources department will asses the nature of the allegation and decide if it requires a formal investigation or can be resolved by informal resolution.
Lead up to the Investigation
After deicing to conduct a formal investigation, the Human Resources department or their designate should begin their process by preparing an investigative plan. This plan should include steps to gather evidence, interview all parties involved, including witnesses, review the company policy and procedures and decide if the investigator should make recommendations based on their findings.
Notify the Respondent
The person the allegation is being made against needs to be informed of the complaint filed against them. The respondent needs to be explained their rights during the process and what the next steps are including providing a statement.
Gather the Evidence.
In order to have a fair and and unbiased approach, the investigator needs to ensure all available evidence is collected and reviewed. This can include written/ audio statements, video surveillance, physical evidence such as e-mails, paperwork, performance reports.
Analyze and Evaluate the Evidence
The investigator will review the evidence and statements, conduct cross examination based on the initial statements and identify commonalities in the statements, inconsistencies, deception and review physical evidence. The investigator needs to ensure they are reviewing this information through a neutral lens and being aware of pre-existing biases that may be present.
Communication
The investigator will return their findings to the Human Resources department in the form of a written report. If recommendations were made, they wil be reviewed and assessed by Human Resources who will then communicate the findings to the complainant and respondent.
Key components of a workplace investigation include:
Objective Examination
The primary aim of a workplace investigation is to gather factual information and evidence to establish the veracity of the allegations or concerns raised. It is conducted in an unbiased and impartial manner, focusing on the facts rather than assumptions or personal opinions.
Confidentiality
Confidentiality is paramount throughout the investigation process. To encourage openness and protect the rights of all involved parties, information is shared on a need-to-know basis, and those involved are encouraged to maintain discretion.
Thorough Documentation
Investigators meticulously document all aspects of the investigation, including interviews, evidence collected, timelines, and any other relevant information. This documentation serves as a crucial record of the investigation's findings.
Interviews
Investigators conduct interviews with the relevant individuals, including complainants, alleged wrongdoers, witnesses, and any other involved parties. These interviews help gather first-hand accounts and insights into the situation.
Compliance with Legal and Ethical Standards
Workplace investigations must adhere to legal and ethical standards, ensuring that all parties involved are treated fairly and their rights are upheld.
Impartiality
Investigators maintain neutrality and impartiality throughout the process to ensure that the investigation is perceived as fair and unbiased by all parties.
Timely Resolution
The investigation process should be conducted in a timely manner to minimize disruption to the workplace and ensure a swift resolution to the issues at hand.
Recommendations and Remedies
Based on the findings of the investigation, recommendations for appropriate actions or remedies are made. These may include disciplinary actions, policy changes, training programs, or other measures designed to prevent similar issues in the future.
Communication
Clear and effective communication with all parties involved is essential throughout the investigation. This includes informing complainants and alleged wrongdoers of the investigation's progress and outcome.
A workplace investigation is a structured and objective process aimed at uncovering the truth and resolving employment-related issues in a fair and equitable manner. It plays a crucial role in maintaining a healthy and productive work environment while upholding organizational values and compliance with legal requirements.
Looking for more information?
If you still aren’t sure if a workplace investigation is right for you, please contact us for a free consultation to discuss if this is the right option for you.