Mastering Workplace Investigations: 5 Vital Steps You Need to Know

Mastering Workplace Investigations: 5 Vital Steps You Need to Know

Table of Contents

1. Introduction
2. Step 1: Planning the Investigation
   • 2.1 Determining the Need for an Investigation
   • 2.2 Creating an Investigation Roadmap
   • 2.3 Selecting an Investigator
3. Step 2: Informing the Parties and Taking Interim Measures
   • 3.1 Communicating the Investigation to the Parties
   • 3.2 Considering Interim Measures
4. Step 3: Interviewing Relevant Witnesses
   • 4.1 Interviewing the Complainant
   • 4.2 Interviewing the Respondent
   • 4.3 Interviewing Co-worker Witnesses
5. Step 4: Reviewing Relevant Documents
   • 5.1 Collecting Relevant Documents
   • 5.2 Investigating Serious Allegations
6. Step 5: Reporting the Investigation
   • 6.1 Preparing a Formal Report
   • 6.2 Informing the Parties of the Investigation Results
7. Recent Case Laws Highlighting Flawed Investigations
   • 7.1 Case 1: Bouchet v. Black Swan Pub & Grill
   • 7.2 Case 2: Borden v. Best Buy
8. Conclusion

🔍 Introduction

In this article, we will discuss the essential steps to conducting a workplace investigation, focusing primarily on investigations related to harassment. Conducting a proper investigation is crucial for employers to ensure a safe and healthy work environment. We will explore each step of the investigation process, including planning the investigation, informing the parties involved, interviewing relevant witnesses, reviewing relevant documents, and reporting the investigation findings. Additionally, we will examine recent case laws that shed light on flawed investigations, emphasizing the importance of conducting thorough and unbiased investigations.

💡 Step 1: Planning the Investigation

Before launching an investigation, it is vital to have a clear plan in place. This step involves determining the need for an investigation, creating an investigation roadmap, and selecting an appropriate investigator. Taking complaints seriously and ensuring the complainant feels safe and respected is of utmost importance. If the complaint, whether it is about harassment, discrimination, or bullying, could violate workplace policies or legislation, an investigation is likely necessary. As part of the investigation roadmap, all allegations, evidence, relevant workplace policies, and applicable legislation should be identified. Choosing an investigator who is independent, impartial, and experienced in workplace investigations is crucial to ensure an objective and fair process.

💼 Step 2: Informing the Parties and Taking Interim Measures

Once the investigation plan is established, it is important to inform the parties involved and determine whether interim measures are necessary. Communication is key during this step. The complainant should be interviewed to gather additional information and identify any relevant witnesses or documents. Likewise, the respondent should be given an opportunity to share their side of the story. Co-worker witnesses should also be interviewed, even if they are outside the organization. During this step, it is crucial to maintain the confidentiality of the investigation, reminding the parties involved of their obligation to confidentiality. Additionally, interim measures should be considered to ensure the integrity of the investigation and protect the well-being of the parties. Measures should be proportional to the allegations and designed to minimize contact between the complainant and respondent, while avoiding favoritism or approval of alleged behavior.

🗒️ Step 3: Interviewing Relevant Witnesses

Interviewing all relevant witnesses is a pivotal step in any workplace investigation. This step includes interviewing the complainant, the respondent, and co-worker witnesses. The complainant's interview allows them to expand on their complaint, provide additional details, and identify relevant evidence and witnesses. The respondent's interview offers an opportunity for them to share their perspective and present their own evidence. Co-worker witnesses, both within and outside the organization, should also be interviewed to gather a comprehensive understanding of the situation. During interviews, maintaining a neutral tone and ensuring confidentiality is crucial. Detailed interview notes should be taken to assist in the investigation process and provide documentation for future reference.

📚 Step 4: Reviewing Relevant Documents

Reviewing relevant documents is an essential aspect of conducting a thorough investigation. These documents may include emails, electronic files, video surveillance, and workplace policies. All evidence collected should be secured and reviewed by the investigation team promptly. It is crucial to adhere to the organization's policies and procedures and consider their alignment with legislation. Additionally, all serious allegations should be presented to the respondent for their response, allowing them an opportunity to address the allegations and provide their perspective. This process ensures that all parties are given a fair chance to present their case.

📝 Step 5: Reporting the Investigation

After completing the necessary interviews and reviewing relevant documents, a formal report should be prepared by the investigator. This report should document the entire investigation process, including the evidence considered and the conclusions reached. It is essential to include any recommended next steps or corrective actions to be taken based on the investigation's findings. The report should be submitted to the appropriate management personnel or HR department for review. While the report does not necessarily need to be provided to the complainant or respondent, they should be informed in writing of the investigation's conclusions and any subsequent actions to be taken.

⚖️ Recent Case Laws Highlighting Flawed Investigations

Recent case laws have shed light on flawed workplace investigations and the consequences faced by employers for failing to address complaints adequately. These cases emphasize the importance of conducting unbiased and comprehensive investigations. The Bouchet v. Black Swan Pub & Grill case showcased the need for a neutral and impartial investigation. The employer's lack of neutrality and failure to communicate investigation results led to significant damages being awarded. Similarly, in Borden v. Best Buy, the employer's inadequate response to a complaint of harassment resulted in punitive damages. These cases underscore the responsibility of employers to address complaints promptly and in accordance with their policies and legal obligations.

🔎 Conclusion

Conducting a workplace investigation is essential to address complaints of harassment, discrimination, or bullying effectively. By following the step-by-step process outlined in this article, employers can ensure a fair, impartial, and thorough investigation. Clear planning, effective communication, interviewing relevant witnesses, reviewing documents, and preparing a comprehensive report are all crucial aspects of conducting a successful investigation. Recent case laws demonstrate the potential consequences of failing to conduct proper investigations, highlighting the need for employers to prioritize the integrity of their investigation processes. Ultimately, by addressing complaints promptly and professionally, employers can foster a safe and healthy work environment for all employees.

Resources:

• Bouchet v. Black Swan Pub & Grill, 2016 HRTO 1019
• Borden v. Best Buy, 2018 HRTO 139
• Fast v. Canadian News Company Ltd., [2014] O.J. No. 112
• Augustine v. The Hospital for Sick Children, 2016 ONSC 6181