Why Workplace Investigations are Important

There are many incidents that would necessitate an internal investigation, some of which are backed by legal precedence. Instances of discrimination, harassment, safety violations and accidents, and misconduct, in particular, are required to be investigated by law. However, the safest approach would be to investigate any reported or suspected claim, whether formally submitted or otherwise. If there is significant evidence of an incident, promptly conducting an effective and thorough investigation may be the only chance to reduce employer liability and prevent future issues. 

During the investigation, it is important to take measures to prevent further incidents. If necessary, separate or place on leave the affected employees. Keep in mind that investigations need to be quick and thorough, to establish that misconduct is taken seriously and to ensure a fair response.

 

Careful Preparationman-looking-at-reports

Prior to an investigation, it is important to create a plan for how it will be conducted and in what order it needs to be done, to ensure that the purpose of the investigation is accomplished.

When choosing an investigator, impartiality is key. Therefore, the choice should be an objective third-party who would be considered a credible witness in the case of a lawsuit. Take into consideration the current and potential future relationship of the investigator and those involved. Investigators should be trained in both workplace investigations and conflict resolution and focused on fact-gathering. 

Review personnel files of the complainant, those directly involved, and potential witnesses. Establish the appropriate order to interview the witnesses and an outline of questions based on the details of the complaint.

 

Conducting an Interview

  • Conduct interviews individually, with only the investigator and a note-taker present.
  • Maintain a professional, respectful demeanor.
  • Create a timeline from the perspective of the person being interviewed, and ask for evidence and witnesses.
  • Ask open-ended, straightforward questions.
  • Pay attention to body language. Constant touching of the hair and face, as well as fidgeting can indicate nervousness and dishonesty. Failure to maintain eye contact can suggest nervousness.
  • Confirm information at the end of the interview and ask if they have anything more to add.

Businesswoman Listening to Colleagues

Post Investigation 

Using all of the information gathered in the investigation and during the interviews, the investigator must determine the validity of the complaint and determine if the company’s policies were broken.

Following this, a comprehensive investigative report should be created that covers all of the facts gathered during the investigation, typically including: 

  • The initial complaint and information related to the incident
  • Employer policies that cover the incident
  • A list of all involved employees
  • Factual findings
  • Transcripts of the witness interviews and determinations of credibility
  • Conclusions from the investigator
  • The names of the investigator and the person making the final decision
  • Employer actions taken and unresolved issues

 Aftermath

Follow up the investigation by ensuring that the decisions made have no adverse effects on the affected parties. You can also use a complaint and the subsequent investigation to improve company policies and investigation practices to prevent similar occurrences in the future.

At Johns Eastern we are here to help you with your risk management program needs.  Contact one of our claim professionals to assist you in your workplace investigation.

2018-12-22T16:34:33-05:00October 14th, 2016|Company Workplace Tips|