How to Conduct a Workplace Investigation
By VICKY BROWN
Leading a team can be wonderful. You have support, you get to help people develop, and the company goes farther, faster.
But, if you’re the leader of a team, it’s going to happen one day. Sooner or later you’ll get a complaint, or something will happen between team members, or someone will file a formal grievance – then what do you do?
Well, generally the first thing you do is launch an investigation. Now I know that sounds like a lot. You’re probably thinking, ‘what – an investigation? I have no idea how to do that. Is it really necessary?’ Well, yes it kind of is necessary, because you need to get to the bottom of the issue.
The purpose of an investigation (and by the way, if that term strikes terror in your heart – then just think of it as fact finding). The purpose of the fact finding is to – well, uncover the facts of what happened.
You know there are (at least) two sided to every story; so when someone comes to you complaining about what someone said or did – you owe it to yourself and the company, to get as much information as you can (hopefully from as many sources as you can) so you have solid intel that can help you decide what action you’re going to take.
So again – before you break out in a cold sweat. I’m going to give you the top five steps you need to take when launching an investigation.
First you need to get the specifics from the person who is making the complaint. What day or time did the thing happen. What was specifically said or done. Were there any witnesses or other people who either were present or otherwise aware of the situation (for instance, maybe the person told someone just after everything happened).
Now a few things are critically important to remember – let the person get it all out. Give them space to fully tell you what happened. And if they can do it also in written form, that’s even better. And while they are tell you their story, don’t jump to conclusions or promise confidentiality or guarantee a specific outcome. I know when someone is recounting something that really upset them, we all feel compelled to try to make them feel better – right then and there. Well, this isn’t the time to indulge that instinct. You don’t have enough facts yet – so it’s not a good idea to get ahead of yourself.
And, as for confidentiality – well, generally in order to get to the bottom of things, you have no choice but to talk to other people and bring them in. Now of course that doesn’t mean gossiping, or talking to people who have nothing to do with the situation. But you can only promise confidentiality to the extent possible while you determine what happened.
Another thing to keep in mind is that, depending on the issue, you may be legally obligated to report the situation. A really good example of this is when and employee goes to their manager to complain about someone sexually harassing them. Well, if the manager doesn’t run that complaint up the food chain, not only are they exposing the company, but they are also creating personal exposure for themselves. So there may be instance where you, literally, are required to tell someone else.
“… if the manager doesn’t run that complaint up the food chain, not only are they exposing the company, but they are also creating personal exposure for themselves.“
Now this is a really good time to mention that I’m not an attorney, employment or otherwise. And this information is provided for general purposes only, and it’s not to be considered legal advice. I urge you to always consult legal counsel and other appropriate licensed professionals.
OK, once you have heard the whole story, now it’s time for you to figure out if you need to take any immediate steps to protect the employee or stop the behavior. Now, this will largely depend on what the issue is. If it’s harassment or discrimination, well then you are obligated to make sure it stops immediately or again you may end up being liable. But if it’s “I don’t like the way Mary tells me to do my work” – that may not rise to the level of protection that the others do. You’ll have to use your judgement.
And here’s a pro tip – if it is a case of harassment, abuse or discrimination – at this point you should definitely call your counsel. They can help you with next steps and may even end of doing the investigation themselves or referring you to a professional.. Just keep in mind that there’s an alphabet soup of employment laws you may need to navigate: the ADA; the ADEA; OSHA and Title VII are just a few.
OK, now you’re reviewed the complaint – now you need to figure out who is going to investigate. Again, it may be you, someone else on your team, or your attorney. Oh, another thing to remember (I know, lots of things to remember, right?). Well, another thing to remember is that various states may have guidelines that impact using non employee third parties as investigators. For instance, in California an outside HR person can’t conduct workplace investigations unless they have a private investigators license. So be sure to watch out for little quirks like that.
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Next, create a list of people you need to interview. Again, it should be anyone who either witnessed the incident or had knowledge of it. And of course the person the compliant is against. In fact, they should be the very first person you interview. I’ve created a list of sample questions for you – you can grab your free copy by using this link.
When you’re creating the questions, consider that you want to ask each of the witnesses the same series of questions. Don’t ask leading questions or put words in anyone’s mouth. And don’t disclose any potential outcome to anyone you are interviewing. They are there to tell you what they know – not the other way around.
Of course, make sure the interview happens in a quiet, private setting. Be respectful, and if they say something you don’t understand, or something that needs more information or clarification – then ask them follow up questions until you’re clear on their answers.
Once you have all the information you need – now it’s time for you the analyze it all, and come to a decision about how you want to handle the issue. Again, you may want to loop your attorney in for help.
But, no matter if it’s something with potentially huge exposure, or a small disagreement between colleagues – as a leader, you’re going to find yourself in a position to have to deal with the people issues that can come up. And sometimes they’re going to be more involved than a simple facilitated discussion between the two people. So, if that happens, keep these five steps in mind.
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And don’t forget to grab a copy of sample investigation questions in the link in the description
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