It is an unfortunate reality of the workplace that employees, at times, will engage in behavior that places the organization at risk. Inappropriate conduct may create the potential for harm to another employee, damage to customer relationships, loss of company assets, and a variety of other possible bad outcomes.
When an organization is faced with this kind of situation, an immediate investigation is an essential first response, or an immediate step following the mitigation of the risk of the imminent harm, if present.

At a minimum, the employee investigation should include the following components:

• Initial orientation to the situation: Manager, human resources and investigator convene for initial discussions of the behavior in question and the individual(s) involved.
• Issue identification: In light of the alleged behavior, what are the policies, practices, laws, etc. that may have been violated?
• Fact Finding: Who must be interviewed and what documentation must be examined? What questions should be asked?
• Investigation Reporting: What actually happened and who needs to be informed?

Important Tips

• Take prompt steps to ensure that the risk of harm is no longer present. This is a delicate balance, because you want stop bad behavior, but you are doing so without knowing all the facts.
• Do not assume any conclusions before commencing your investigation, unless the facts are empirically undeniable. Every investigation begins with only part of the story. In order to ensure that you have been thorough, objective and fair, leave biases and assumptions at the doorway of the interview room.
• If you are a government agency or if your employees are represented by a union, additional rules may apply to your investigation. Make sure you obtain appropriate professional guidance before proceeding.
• Make sure your investigator is thorough and finishes the job. An expert investigator will examine all documents, materials, etc. that may contain information that will shed light on the situation, and will Interview all individuals who may have knowledge of any of the facts of the matter. This is no place to cut corners. Because objectivity and impartiality are usually very critical to a credible investigation process, utilization of resources from outside the company is often advisable.

In short . . .

The properly conducted employee investigation is an important tool for ensuring a productive workplace and appropriate employee behavior. The foregoing discussion provides a very general overview for a fairly complex and detailed process that should be conducted by an experienced professional. If mishandled, an investigation can actually compound the problems arising out of the behavior you may be trying to stop. When embarking on an investigation, be sure that your plan reflects these considerations.

This information is intended as a general reference and should not be relied upon as financial, legal or other professional advice. The contents of this article are proprietary and may only be used with the expressed written permission of Zia Business Partners, Inc.

For additional information, please contact us.