Improving Workplace Investigations
Workplace investigations become a necessity at some point in time in every company. Whether you identify them as investigations or simply call them “just finding out what happened”, trusted employees who are not trained investigators likely are assigned the task. The result is often an incomplete understanding of the facts due to poorly conducted interviews, weak documentation of interviews, partial collection or improper handling of evidence, and poorly written reports. Following a few simple guidelines will dramatically improve your workplace investigations and potentially eliminate risk of ending up on the losing end of costly workplace litigation.
Assign ownership. Investigations that are not viewed as a primary responsibility end up done in piecemeal fashion by a number of people to whom small tasks have been assigned. For example, an investigation started on first shift may require an interview of a second shift employee that is handed off to his or her shift supervisor—who has limited knowledge of the incident. Such a situation frequently results in incomplete interviews and missed or misunderstood information. An employee given the responsibility of the whole task will do a better job of ensuring all parts of the investigation are completed appropriately. If the case manager needs to delegate parts of the work, ownership and responsibility will ensure assignments are delegated with all necessary information for a thorough job.
Outline the problem and information needed. Creating a case outline is critical in a thorough investigation. The outline is the roadmap that guides you to the facts and should include “who, what, where, when, why and how”. Write out the incident or allegation, then list all potential witnesses. List any potential evidence that may be necessary to form your conclusion at the end of the investigation. List the steps to be taken logically following the chronology of the event. For example, if an employee damages warehouse racks with a forklift, start with the employee who checked out the forklift to the driver. Who assigned the equipment? Were there issues with the equipment? Was there an issue with the employee’s demeanor or attitude at check out? If so, was there an issue when he or she reported to work? Who observed the employee check out the equipment? Who saw him or her operate it prior to the collision? Who can offer information on the possibility of physical impairment? Will you need photographs of the racks? Were there any injuries? Will you need photos of the injuries? Without a case outline, rapidly developing information can lead an investigator to conclusions without reviewing all avenues of possibility, a major problem for you during litigation and exactly what opposing counsel needs.
Structure your interviews. Prior to starting an interview write down the information you need from the employee. List all the questions you intend to ask. Start the interview by asking the employee to tell you about their knowledge and allow them to get their story out. Most people are poor storytellers and will jump around and give partial information. When the employee is finished, go back and take him or her through the event chronologically, asking the specific questions you need answered. Take thorough notes. When you are finished, ask the employee if there is anything else you should know about the issue or if there is anything more they can add. Prior to ending the interview, go back through the chronology of the incident, verifying with the employee each of the key points to ensure accuracy. Be sure to pin down specifics by giving the employee markers. For example, if an employee can’t remember when something occurred, ask if it was before lunch then narrow the time to before he or she took a break. Narrowing the time frame will help the employee provide specific accurate information.
Take thorough statements. It is important to have the employee document information for you in his or her own words; however, an inexperienced writer will invariably submit an inadequate written statement leaving out much of what you learned in the interview. Provide the employee with a list of questions you need answered in the written statement. This will ensure all relevant information will be included in the employee’s statement. Your interview notes and the written statement will be evidence and must be retained.
If physical evidence exists, you must collect and retain it in original form. Collecting evidence is useless unless you can document a chain of custody and can testify that it was not altered. For example, if an employee gives you a piece of evidence that he or she picked up at the site of the incident, place a label or tag on the evidence with date and time of collection, and have the employee initial the label. You then initial the label and if you give the evidence to someone, that person must initial the label. In court you will be able to establish an unbroken chain of custody and can testify that the evidence is in original condition.
When an investigation is complete, the case manager must write a report of actions taken and information obtained. Be objective in the report and give only facts. Carefully document all actions, interviews and evidence collected. The case manager’s, notes, written statements, and report will comprise full documentation of the incident and should be retained until any chance of litigation has passed.
Balance your investigations against the need for confidentiality. Remember, the more thorough an investigation, the more likely it is that knowledge of the investigation will be spread. In some cases, the need for confidentiality can exceed the need for a thorough investigation. Before committing to a course of action, make sure all outcomes and options are considered and all stakeholders are in agreement.
If you find that your investigative needs surpass your internal capabilities, give us a call at Rampart Group: 877.871.4827.
 Kathy LeodlerChief Executive Officer Email:kathy.l@rampartgroup.com Phone: (360) 981-2703 PI License #3555 |
 Paul LeodlerExecutive Vice President Email:paul.l@rampartgroup.com Phone: (360) 981-3397 PI License #4180 |
We at Rampart Group are committed to your security. Call 1-800 421-0614 or contact us today with your security or investigative needs.