Workplace Investigations 101: Policies, Procedures, and Best Practices for 2025

Description

When we think of workplace investigations, the most common thought is that of investigating harassment complaints.  However, there are so many other forms of workplace misconduct that require investigations such as theft, safety or OSHA issues, retaliation, vandalism, working off the clock, substance abuse, social media violations,  and violations of various company policies, as examples.  Usually, this responsibility is left to HR, and sometimes to management, and there may be a need to determine if an outside investigator, such as law enforcement or an IT professional, is the best person to investigate.

Investigating is both a science and an art. There is the scientific/technical aspect of ensuring the I’s are dotted and the T’s are crossed to minimize liability. There is the ‘art’ of investigating in establishing rapport with those you interview,  creating a safe environment in which to interview, and recognizing that interviewees are usually stressed during the interview process. As an employer, you have a duty to investigate. Employees have an obligation to cooperate with the investigative process—but what if you have a recalcitrant complainant, wrong-doe, or witness? Documentation and writing a final report are critical aspects of an investigation process that begins as soon as an employee makes a complaint—do you know how to document?  Do you know the critical elements of a final report to minimize liability? One of the first questions you, as an HR professional, need to consider is whether the complaint requires a full-blown formal investigation or if a less formal resolution is appropriate because the complaint is a minor policy violation.  What do you do if you need to search the employee’s desk, computer, smartphone or locker? Other questions that need to be answered are: When do you include legal counsel?  What evidence do you need to gather?  This webinar will focus on these issues by discussing best practices to ensure you are conducting a fair and impartial investigation that will support a positive work environment, protect employees and the organization, and decrease the risk of liability.

Anyone who investigates must be trained in how to do so. Merely having the experience of conducting investigations without having been taught the art and science of the process is not enough. When your organization ensures its investigator is trained in how to conduct investigations, it demonstrates its commitment to the prevention of harassment by the Court or outside agency.

The webinar addresses laws that HR is responsible for upholding.  When the laws are not followed, it increases the liability of the organization and interferes with a fair and equitable work environment for employees.

Learning Objectives:-

• To identify what constitutes a complaint
• To determine if  an investigation is necessary
• To discuss  the steps of an investigation
• To explore the intricacies of interviewing the accuser, accused, and witnesses
• To demonstrate good documentation
• To differentiate between formal and informal investigative procedures
• To determine credibility
• To reach a conclusion following an investigation
• To follow up with appropriate action based on the outcome of the investigation
• To write a formal report outlining the investigation.

Course Outline:-

• Discussion about when and if an investigation is required
• Comparison of a formal and informal investigation process
• Planning for the investigation
• Review of what constitutes a witness
• Legal issues surrounding an investigation, such as confidentiality, defamation of character, and false imprisonment
• The importance of documentation of each interviewee
• Examples of appropriate and inappropriate documentation and why it is critical
• Specific details regarding how to corroborate evidence
• List of criteria to determine the credibility of those interviewed
• The role of the investigator in forming an opinion following the investigation
• How to follow up with the target, the  accused, and the organization
• The critical importance of an investigative report
• List of misconduct triggers that are a catalyst for an investigation
• Template final report.

Who Will Benefit:-

• Human Resources Professionals
• HR Managers and Directors
• Employee Relations Specialists
• Compliance Officers
• Business Owners
• In-House Legal Counsel
• Supervisors and Managers
• Risk Management Professionals
• Operations Managers
• Workplace Investigators
• Labor and Employee Relations Consultants
• Office Managers
• Executives and Senior Leadership.