Workplace Investigations with NAE

Conducting a workplace investigation is one of the most challenging aspects of human resources. While an investigation assists employers in identifying and resolving internal problems, it can also involve complex issues with greater threats of liability. NAE’s team of experienced legal professionals can help employers navigate the challenges of workplace investigations and guide them in determining appropriate courses of action. We can offer guidance and resources for those seeking to conduct an investigation themselves, or we can step in and conduct the investigation for you.

Why is it imperative to Conduct a Proper Workplace Investigation?

Conducting a proper investigation is vital for several reasons. It ensures employers meet their obligation to “prevent and correct promptly” any harassing behavior by employees, addressing issues in a timely manner. This approach also helps avoid liability for both employers and those wrongfully accused by handling complaints fairly.

Effective investigations enable employers to take corrective action when they “know or should have known” about problematic conduct by coworkers, preventing issues from escalating. Consistency and fairness within this procedure promote equity within the workplace.

A serious approach to investigations signals the employer’s commitment to a respectful work environment. It also fosters a culture where employees feel safe reporting concerns, contributing to a more supportive workplace.

Characteristics of Successful Workplace Investigations

A proper, formal investigation should adhere to several key characteristics to ensure effectiveness and fairness.

• Adhere to the company’s complaint policy for consistency and compliance.
• Conduct the investigation with someone skilled in managing such processes.
• Act promptly to address issues before they escalate.
• Interview all relevant witnesses and the accused to understand the situation fully.
• Document all steps, including interviews, for transparency and accountability.
• Collect relevant information and draft a summary report of findings.
• Implement disciplinary actions and measures to prevent future misconduct if needed.

All information related to the investigation must be stored in a confidential file to protect the privacy of those involved and maintain the integrity of the process.

Preparing for Workplace Investigations

When is the Best Time to Start an Investigation?

It should be initiated as soon as a report is received, whether it’s through an informal or formal complaint.

Regardless of the source, best practices dictate organizations should take all complaints received seriously and do their due diligence in the investigation process.

Select the Right Third-Party Investigator

The right choice of investigator is imperative to ensure that your workplace investigation is successful. A trained investigator should meet the following characteristics:

• Unbiased— The ideal investigator should be an unbiased and disinterested fact finder. It is best for this investigator to be outside of the organization to avoid any conflict of interest within the process.
• Attentive— The ideal investigator should be an attentive listener and pay close attention to detail.
• Knowledgeable— Choose an investigator that has expert knowledge of the investigation procedures and proper documentation requirements. This expert can be an HR professional, legal counsel, or a team made up of both.

Set Clear Objectives for the Investigation

To effectively prepare for workplace investigations, start by creating an investigation plan which includes defining the allegations and potential HR policy violations, identifying potential witnesses and involved parties, and determining next steps. Once a plan is in place, act.

Review relevant laws and company guidelines to ensure compliance within the workplace investigation process. This includes knowing labor laws and internal procedures that govern the process. Plan how to substantiate the allegations with the right resources by deciding on methods such as:

• Interviews: Identify and schedule interviews with the complainant, the alleged wrongdoer, and witnesses.
• Documentation: Collect pertinent documents like emails or reports.
• Other Means: Consider additional evidence, such as surveillance footage if applicable.

Finally, prepare and schedule interviews, crafting interview questions that are clear and focused to gather detailed information. This structured approach will help ensure a thorough and compliant investigation.

Gather Evidence & Begin the Documentation Process

• Conduct Interviews with Relevant Parties— Interview the complainant, the alleged wrongdoer, and witnesses. Ask focused questions, and record interviews accurately through detailed interview notes or audio obtained with consent.
• Document Each Step of the Investigation— Keep detailed records of interviews, evidence collection, and other investigative actions. Ensure documentation is organized and comprehensive. Additionally, ensure that confidential information is obtained and kept in compliance with privacy laws.
• Analyze Evidence—Review and evaluate all collected evidence to identify patterns or inconsistencies. Base your conclusions on a thorough and objective analysis.
• Communicate Findings and Taking Corrective Actions— Summarize and report the results of the investigation, including any recommendations for corrective actions in a final workplace investigation report. Communicate these findings to the involved parties and implement necessary measures, ensuring all actions are documented and followed up on.

Best Practices to Ensure Fairness and Legal Compliance

• Maintain Confidentiality and Impartiality— Keep the investigation confidential and share information only with those who need to know. Avoid biases and ensure all parties are treated fairly.
• Understand Legal Obligations and Rights— Be aware of relevant laws and regulations and ensure the entire process complies with legal requirements, respecting all parties’ rights.
• Provide Support to Involved Parties— Offer support, such as counseling, to those involved, ensuring they are not subjected to retaliation or undue stress.

NAE—the Best Choice for Your Workplace Investigations

NAE is the best choice for your third-party workplace investigation, thanks to our team of licensed attorneys experienced in managing internal investigations. Our unbiased approach ensures a fair and impartial process, which is essential for resolving complex issues and mitigating potential liability.

How can NAE help you manage the investigation process?

NAE can assist in two ways: either by serving as your third-party investigator to handle the entire investigation or by supporting you as you conduct it yourself. We provide guidance and resources through our HR hotline, help define the scope of work, and offer checklists and documents on our member site.

Why should you choose to work with NAE for your workplace investigations?

NAE provides a licensed attorney who is well-versed in conducting internal investigations. By choosing NAE, you ensure that your investigation will be impartial, fair, and thorough. Additionally, we offer legal guidance based on the findings of the investigation.

NAE’s thorough documentation practices provide clear, actionable insights, aiding in the efficient and effective navigation of workplace investigations. With NAE, you benefit from both a diligent investigator and a reliable advisor committed to best practices and legal compliance.

To speak with a member of our legal team about how we can assist with your workplace investigation, contact NAE at 888.398.8092 or info@nevadaemployers.org.

Frequently Asked Questions