However, no matter the type of workplace investigation, all workplace complaints should be taken seriously. Conducting a thorough workplace investigation ensures a safe and fair working environment and builds trust among employees. It also protects your organisation from potential legal trouble if the correct steps are taken to document the complaint. If workplace investigations are not properly handled, it can lead to legal issues, damaged reputations and a toxic work culture.
Steps for Conducting a Workplace Investigation
If you are an organisation and are looking to internally investigate an incident, here are some steps you can take to thoroughly approach the investigation:
Step 1: Complaint Receipt and Assessment
It is important for the person who has made the complaint or reported the incident to know that you acknowledge it and take it seriously. However, not all incidents require an in-depth investigation so use your best judgement to decide if the complaint needs to be investigated further or if you can resolve the issue another way. If the incident does require a deeper investigation, determine the scope and the nature of the investigation before beginning the investigation report.
Step 2: Planning and Preparation
Once you have discovered the scope of the investigation, it is time to be clear on what you are hoping to find out. Begin by creating a workplace investigation checklist, outlining the steps, timelines and resources, such as interviews or documents to complete the investigation. It may not be in your best interest to conduct the investigation internally as this can lead to bias and legal compliance issues being overlooked. Therefore, you can outsource your investigations or seek legal counsel from an outsourcing HR company, such as E.L Blue, to handle the investigation.
Step 3: Notification and Initial Communication
Once you have devised a plan, it is important to notify everyone who has been involved in the complaint that this is taken seriously and you will be conducting internal investigations. This looks at people who are being directly investigated, the one who made the complaint and any witnesses. You must also provide them with an overview of how the investigation will take place and ensure that everyone knows the investigation is confidential.
Step 4: Evidence Collection
When gathering evidence for your investigation, this can look like collecting documents, emails and any other mail trace evidence that is relevant to the case. You then can conduct interviews to get a well-rounded understanding of what took place. As such, you should conduct confidential interviews individually with the complainant, the respondent and any witnesses involved that can support painting a picture of the complaint. When conducting your workplace investigation, you must keep a detailed record of all the evidence and interviews.
Step 5: Analysis & Allegations Development
Once all the appropriate evidence has been collected, you will then evaluate the consistency across the investigation report and cross-examine interviews. After observing the allegations, begin to write out specific allegations based on the evidence.
Step 6: Deciding On the Results
Based on the evidence you have collected, document the findings and create a rationale for the decision. It may also be valuable to seek legal counsel on the best course of action to ensure the investigation report and decision are aligned. Once you have determined the verdict, communicate the outcome to the complainant and respondent.
How to Procedural Fairness
When conducting a workplace investigation, fairness and confidentiality are paramount as it reflects poorly on your organisation if your employees cannot trust their voices to be heard. Establishing an unbiased approach to your investigation is the key step to maintaining your employee’s trust. One way to do so is to give everyone ample opportunity to tell their side of the story. Keeping the process clear and open to maintain transparency is another approach.
Managing Outcomes and Post-Investigations Steps
Once you have completed the investigation, it is then your responsibility to delegate the disciplinary action or other resolutions. Offering support to those impacted by the investigation is also important for your employee’s well-being. Based on the circumstances, it may also be necessary to review and update policies to prevent future issues and establish a standardised procedure for handling incidents. This ensures that company policies and future investigations follow a consistent and effective approach. One benefit to seeking external support from an outsourcing HR company is that they can provide expertise in updating company policies if it is part of their outsourced HR services.
When to Seek External Help
There may be instances in which you cannot handle the investigations internally. This is typically the case if there is a conflict of interest in the case or if it is complex and requires legal counsel. This is typically the case if there have been sexual harassment or discrimination allegations. Hiring an external HR outsourcing company to conduct the investigations ensures that you are receiving expert advice and that your investigation will be compliant. Additionally, they can provide a non-biased and thorough investigation.
Approaching workplace investigations with impartiality is crucial for fostering a positive work environment and maintaining employee trust. You can develop a thorough and unbiased investigation plan by following the six steps outlined above. Additionally, be sure to seek external help and legal guidance when you feel out of your depths. This can look at a legal team or an outsourcing HR company such as E.L Blue to help you conduct your workplace investigation.
FAQs about Workplace Investigations
Who investigates accidents in the workplace?
Accidents are typically investigated by an internal team or an external investigator who specialises in workplace safety to ensure the workplace investigation is thoroughly investigated. Once the incident has come to a final decision, company policies and safety measures may be updated to prevent the incident from happening again.
Are workplace investigations confidential?
Workplace investigations should be kept confidential to ensure everyone involved has their privacy protected whilst the investigation is taking place. This also ensures evidence is not tampered with.
How long do workplace investigations take?
Depending on how complex the case is it can take a few weeks to a couple of months to determine the verdict and disciplinary action be taken. If legal action is required it may take longer to come to a final decision.
What is an internal investigation in the workplace?
It is an investigation conducted by someone within the company, typically from the HR department or in a manager position. This investigation aims to gather facts and information regarding alleged misconduct, policy violations, or other issues that affect the organisation’s operations or workplace culture. Internal investigations help maintain transparency and accountability within the company, ensuring compliance with policies and legal regulations.
What happens after a workplace investigation?
Depending on the severity of the case, disciplinary action may be taken or policies changed to ensure everyone within the workplace understands what will not be tolerated. In some cases, such as sexual harassment or discrimination cases, it may result in employee termination and legal consequences.
Can an employee refuse a workplace investigation?
Cooperation with workplace investigations is generally expected. However, a support person may be present if those involved are uncomfortable being alone during the interview process.
Can new evidence reopen workplace investigation?
Yes, if new and relevant information comes to light, the investigation can be reopened. This is typical for more serious cases rather than minor cases.