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Internal investigations are fact-finding initiatives carried out to uncover the truth about alleged misconduct. And this must be done without compromising the relationship with employees or unnecessarily damaging anyone's reputation. All of which require planning, consistent execution, analytical skill, and an understanding of the legalities involved.
Employers are legally mandated to investigate harassment, discrimination, retaliation, safety, and certain other types of complaints. And good investigators first create a plan that includes:
Workplace investigations are crucial when it comes to establishing a safe and welcoming work environment. However, these investigations are often complex and can involve navigating sensitive topics and disputes.
A poorly conducted internal investigation can cost a company financially and damage its reputation, not to mention the reputation of the person tasked with overseeing such a probe. Some of the common mistakes made include:
Conducting workplace investigations is one of the most challenging duties that HR professionals and other managers have to face due to today’s workforce demographics, new employment laws, employees being more aware of their rights – a quagmire of potential landmines - and many managers not trained to do so.
Employers must demonstrate fairness when conducting workplace investigations. and investigations should be thorough and well-documented before an employer takes any action. Additionally, effective workplace investigations need to be guided by the following principles:
An internal investigation is a formal inquiry to determine whether workplace policies or regulatory practices have been violated. Investigations can follow:
The goal of any internal investigation is to obtain a straightforward view of the facts:
Internal investigations assist organizations in gathering information, fashioning defenses, and crafting remedies. Specifically, internal investigations are useful for organizations to identify where there is a need for remediation.
The final investigative report should include:
It’s critical to investigate an allegation quickly. Stretching an investigation out over a lengthy period tells employees the alleged misconduct isn’t important. And as time goes by, it becomes more difficult to collect evidence and get witnesses to talk, details are forgotten and documents disappear.
And if the organization terminates or disciplines an employee and that person files a lawsuit or complaint the investigation report will be critical in protecting the company in court. While every complaint is unique, having a well-defined, consistent process in place can ward off future lawsuits.
Pete Tosh is the Founder of The Focus Group, a management consulting and training firm that assists organizations in sustaining profitable growth through four core disciplines:
The Focus Group has provided these consulting & training services to manufacturing & service organizations across the U.S., Canada, Europe & the Middle East. Prior to founding The Focus Group 25 years ago, Pete had 15 years of corporate leadership experience including serving as the V.P. of Human Resources & Quality
Pete frequently facilitates a variety of leadership development programs. Employees from over 3,500 organizations have benefited from Pete’s experience and perspective. Pete is also co-author of Leading Your Organization to the Next Level: The Core Disciplines of Sustained Profitable Growth.