You must investigate charges of crime, inappropriate behavior, or harassment in the workplace. Do it wrong, however, and your company may end up as the target. Here’s what two experts say about doing it right.
It would be nice if everyone in business was honest, decent, and professional. Unfortunately, that’s not the case. Some employees do steal. Some do behave inappropriately. Some do violate internal policies, or even the law.
When that happens, your organization will likely be called on to investigate. This is a process fraught with dangers. Take a wrong step and you, yourself, become the target. The accused can claim harassment, discrimination, or other wrongful and probably litigious behavior.
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For those reasons, we were glad to see an article on the major pitfalls of workplace investigation by Deborah J. Muller, a principal at HR Acuity, a Chatham, New Jersey, investigative firm, and Michael E. Ferrans, an assistant general counsel of labor and employment at Honeywell International.
Here’s a composite of what Muller and Ferrans say to do in conducting workplace investigations.
–First, do them! When an accusation comes in from any employee, take it seriously. Assure the worker that the matter will be handled appropriately and expeditiously, and provide a time line for results. If you foot-drag, or worse, do nothing, “chances are that the worker will find a lawyer – or even a journalist –more willing to listen,” the authors say.
–Avoid promising confidentiality. Even if an employee tells you of wrongdoing “in confidence,” because you are a company representative, you can’t keep it that way. As soon as you’re told of wrongdoing, “any future claims would increase the liability of the company because it is [now] officially on notice … and has a legal obligation to investigate and remedy the situation,” the authors write.
–Don’t try to keep it internal or informal. Nobody wants bad publicity, so it may seem tempting to keep things “in the family.” The authors warn that this may later be seen as sweeping a problem under the rug. Likewise, if there’s a serious problem between employees, and especially one involving threats of violence, don’t tell warring employees to “work things out” with each other. If things get worse, your inaction could be seen as a contributing factor.
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–Talk carefully to the accused. When apprised of wrong behavior, untrained managers will simply go to the accused and ask, “Did you do it?” This may prompt a guilty party to destroy evidence or otherwise obstruct the inquiry. Instead, say the authors, call in the worker to “discuss a situation.” Questioning should move from the general to the specific, but the accused must be told the full facts before the meeting ends.
–In a harassment case, don’t just transfer the victim. Based on a recent ruling by the U.S. Supreme Court, “what seems like a logical and perhaps sensitive act by a company could actually be deemed as an act of retaliation,” say the authors. Instead, transfer or place the accused on administrative leave. If it is the victim who asks for the move, get it in writing!
–Your standard of guilt need not be that of a court. When there’s prison time in the offing, guilt “beyond a reasonable doubt” is the rule. That’s not so in employment situations, the authors point out. Instead, they say, “many courts have held employers to the standard of conducting a good faith, reasonable investigation” before taking job action.
–The investigator should not be the decision maker. While the investigator can recommend action, he or she should not determine the fate of the alleged violator.That should be done by someone bringing a neutral and fresh assessment to the case.
Of course, once that fate is determined, all aspects of the case should be documented in a thorough report.
To learn more about HR Acuity, email info@hracuity.com.
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