Workplace Investigations - Tip # 4
Setting the stage or otherwise preparing for an investigation - When conducting a workplace investigation there are number of items to address prior to diving in and interviewing employees. Generally, I would separate them into several areas:
1. How to deal with the accuser (and/or other employees) - this can include removal, if warranted, for his/her safety, referral to the company Employee Assistance Program where appropriate, continued oversight of the workplace by management, alerting management in the area of relevant information where necessary. Many times HR or legal will begin an investigation and key management in an area have not been alerted as to the serious nature of the issue at hand. They view the intervention of the investigator as a distraction and intrusive. Planning for the investigation and reaching out to key personnel will go a long way to help ensure a smooth investigation.
2. How to deal with the accused employee(s) - this includes removing the accused from the workplace to prevent any further disruption, to avoid any chance of retaliation and to prevent further contact with the complainant. Generally, you would remove the accused by placing him/her on administrative leave - paid or unpaid. If you choose unpaid, be sure to consider the various wage and hour implications if the accused is an exempt employees. Again, engaging key management in the area is important. Without understanding the seriousness of the alleged offense, they may view removal as unnecessary and disagree with the process. this can undermine your investigation.
3. Developing an investigation plan - Who will conduct the investigation? Who will be interviewed? What documents and other evidence must be reviewed? What policies are relevant? What follow up will be done at the conclusion of the investigation? Many of these will be the subject of later posts, in more detail. But, it is necessary to have, at a minimum, a plan or outline of the items you need to address during your investigation. Without this, you may easily lose focus and forget to address some key areas.
