8 Essential Steps for Business Owners in Conducting Workplace Investigations

A 2023 report by the Society for Human Resource Management (SHRM) reveals that almost 70% of employees feel their employer isn't managing workplace misconduct effectively. This is a serious issue, showing that businesses must improve how they handle these situations to keep their teams trusted and united.

Here are 8 steps to conduct a workplace investigation in your small business.

Understanding workplace investigations

A workplace investigation is a formal process to address employee complaints or concerns. These might include issues like harassment, discrimination, theft, or other misconduct.

Handling these matters thoroughly and fairly is crucial for resolving problems effectively and staying within legal boundaries.

For small businesses, where teams often work closely together, unresolved issues can quickly upset the work environment.

Steps to conduct a workplace investigation

1. Take all complaints seriously—this is crucial. Listen to the employee’s concerns and make sure to document everything.
   

2. Decide who will handle the investigation. This could be an internal manager or an external HR consultant. Make sure they’re unbiased. Plan the investigation by defining its scope, figuring out the resources needed, and setting a timeline for completion.
   

3. Gather all relevant evidence, like emails, documents, and witness statements. A thorough information-gathering phase is essential to get a complete picture of the complaint. This step is critical for building a clear and comprehensive understanding of the situation.
   

4. Interview the complainant, the accused, and any witnesses. Keep these interviews confidential and impartial. Structured interviews help clarify the details and provide different perspectives on the issue.
   

5. Analyse the collected information to see if there’s enough evidence to support the complaint. Review the findings by assessing the credibility of the evidence and making sure all relevant facts are considered.
   

6. Decide on the appropriate action based on your findings. This could range from training and counseling to disciplinary measures. Ensure the decision is fair, unbiased, and fits the severity of the issue.
   

7. Keep detailed records of the investigation process for legal purposes. Document everything, including interview notes, evidence, and a written report summarising the findings and conclusions.
   

8. Inform all involved parties of the decision, being transparent while maintaining confidentiality. Clear communication helps ensure the process is seen as fair and that everyone understands the outcome and any next steps.

Conducting a workplace investigation isn’t just about addressing issues; it’s also crucial for staying legally compliant.

Make sure to stay informed about relevant laws and regulations to help you avoid legal pitfalls during the investigation process.

Handling workplace issues effectively starts with having clear investigation procedures in place. Ensure you document everything thoroughly, remain objective, and gather all facts before making decisions.

For detailed guidance and to ensure your procedures are robust, get in touch sandra@hrconsultingtas.com.au.

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