Leadership: Employee Misconduct - Investigation Basics

Dr. Frank Kardasz, July 18, 2024

Editor: Ava Gozo.  

When an allegation of employee misconduct arises, a thorough and well-structured investigation is essential. The following steps outline an approach to consider when handling such investigations:

1. Receive and document the complaint: Record all details of the alleged misconduct, including date, time, location, and parties involved.

2. Assess the severity and nature of the complaint: Determine if it's a civil matter or potentially criminal.

3. Consult with appropriate parties:

• For civil matters: Work with Human Resources to ensure compliance with company policies and employment laws.
• For potential criminal cases: Seek advice from legal representatives to understand legal implications and requirements.

4. Develop an investigation plan: Outline the scope, objectives, and timeline of the investigation.

5. Take immediate action if necessary: Implement temporary measures to prevent further incidents or protect involved parties.

6. Gather and preserve evidence: Collect relevant documents, emails, surveillance footage, and other physical or digital evidence.

7. Conduct interviews: Begin with the complainant or information source, then interview the accused and any witnesses. Maintain detailed records of all interviews.

8. Analyze the evidence: Review all collected information objectively to determine if misconduct occurred and if any policies or laws were violated.

9. Consult again with HR or legal counsel:

• For civil cases: Discuss findings with HR to determine appropriate actions based on company policies.
• For criminal cases: Consult with legal counsel to determine if law enforcement should be involved and how to proceed.

10. Make a decision: Based on the evidence and consultations, conclude whether the allegations are substantiated and what actions should be taken.

11. Prepare a final report: Summarize the investigation process, findings, conclusions, and recommended actions.

12. Communicate results: Inform relevant parties of the investigation's outcome while maintaining appropriate confidentiality.

13. Implement actions: Carry out any disciplinary measures, policy changes, or other actions determined necessary.

14. Follow up: Monitor the situation to prevent retaliation and ensure the effectiveness of implemented actions.

15. Review and improve: Assess the investigation process and identify any areas for improvement in company policies or procedures.

Throughout the process, maintain impartiality, confidentiality, and professionalism. Regular consultation with HR for civil matters and legal counsel for potential criminal cases ensures compliance with relevant laws and company policies, protecting both the employees and the organization.

Citations:

[1] https://www.shrm.org/topics-tools/tools/how-to-guides/how-to-conduct-investigation

[2] https://www.caseiq.com/resources/how-to-conduct-an-employee-misconduct-investigation-a-13-step-guide/

[3] https://www.hracuity.com/blog/workplace-investigations-interview-best-practices/

[4] https://www.nolo.com/legal-encyclopedia/investigate-workplace-complaint-29475.html

[5] https://www.aihr.com/blog/hr-investigation/

[6] https://assets.corporatecompliance.org/Portals/1/Users/169/29/60329/Workplace_Investigations_Guide.pdf

[7] https://safetyculture.com/topics/workplace-investigation/

[8] https://eddy.com/hr-encyclopedia/workplace-investigations/

 DFS565

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