10 Critical Mistakes in Workplace Investigation Programs and How to Avoid Them
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The document outlines 10 critical mistakes that can occur in workplace investigation programs and how to avoid them. It discusses mistakes related to having an incomplete system, not taking care of details, not paying attention to trends, not collaborating with others, not following proper processes, using the wrong investigator, not challenging the investigator, overstepping boundaries, assuming procedural fairness is easy, and thinking investigations can't be challenged. It provides tips for business leaders, HR leaders, and investigators to review practices, collaborate with peers, and continuously improve their workplace investigation programs to avoid common pitfalls.
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10 Critical Mistakes in Workplace Investigation Programs and How to Avoid Them
- 1. 10 Critical Mistakes in Workplace Investigation Programs and How to Avoid Them Ken McCarthy, President, Integrity By McCarthy Inc. Thursday November 19, 2020 at 2:00 p.m. EST
- 2. Overview For Business and Government Leaders For Human Resources Leaders For Workplace Investigators • What could possibly go wrong? • How to avoid the major mishaps 2
- 3. Have any of your investigations ever been challenged through a lawsuit or formal recourse mechanism? a. Yes b. No c. Don’t know / Not Applicable Poll Question # 1 3
- 4. For those of you who have had your investigations challenged through a lawsuit or formal recourse mechanism, how were they resolved? a. Decision in your favor b. Decision in the complainant’s favor c. Mediation / Settlement d. More than one of the above Poll Question # 2 4
- 5. Have you personally ever had to testify before a court or tribunal to defend your investigation? a. Yes b. No Poll Question # 3 5
- 6. What could possibly go wrong? 6
- 7. Community Support Healthcare System Prevention ResolutionInvestigation Restoration Investigation Programs - One Piece of a Bigger Picture Complainant Broken Lives Productivity Loss Ruined Careers Financial Losses Damaged Reputations Mental Health IssuesWitnesses Labour Unions Mediators Arbitrators Adjudicators Judges Labour Advisors Respondent Managers Lawyers Investigators Labour Dept. EEOC & ESDC 7
- 8. Sources of Mistakes People Systems Legal Process PolicyPolitics Competence Bias Integrity Accountability Ego Complacency 8
- 9. Mistake # 1 Absence of a complete “system” • Prevention to resolution • Investigation to litigation • Feedback loop • Ownership at all levels Complacency Accountability Integrity Competence Process Ego 9
- 10. Mistake # 2 Not taking care of the little things • Documentation • Communication • Expectations • Timeliness • Follow-up Competence Accountability Complacency Integrity 10
- 11. Mistake # 3 Not paying attention to current trends • Subscriptions • When to act • When not to act • When to tweak Competence Complacency Accountability Ego Process 11
- 12. Mistake # 4 Not collaborating with others • Going at it alone • Competition • Know it all Ego Competence Complacency Accountability Bias Politics 12
- 13. Mistake # 5 Not following the “process” • One size fits all • Evidence collection • Procedural fairness • Credibility assessment Ego Competence Complacency Process Policy Legal 13
- 14. Mistake # 6 Not using the right investigator for the job • The investigator “hat” • The right fit • Conflict of interest Bias Ego Competence Complacency Politics 14
- 15. Mistake # 7 Not challenging the investigator • Accept everything • Ask why • Time pressures Ego Accountability Politics Bias Complacency Legal Competence 15
- 16. Mistake # 8 Crossing the line • Who to talk to • Who not to talk to • Attempted influence Politics Ego Competence Accountability 16
- 17. Mistake # 9 Assuming that Procedural Fairness and Objectivity are Easy • Protection vs. Disclosure • Leaving your biases at the door Complacency Ego Competence Bias Legal Policy Process 17
- 18. Mistake # 10 Thinking You Are “Untouchable” • Could you ever be accused of something untoward? No Way! • Trust in the process • Who you are • The “Most Dangerous Game” ** • Moving on **Short story by Richard Connell, first published on January 19, 1924 Ego Competence Bias 18
- 19. Five (5) Fatal Traps for Leaders 1. Lack of interest 2. Off the record 3. Pass the buck 4. Go it alone 5. Accountability 19
- 20. Five (5) Fatal Traps for Investigators 1. One-time deal 2. Documentation 3. Complacency 4. The Vortex 5. Forest for the trees. 20
- 21. Five (5) Fatal Traps for Subjects and Witnesses 1. Refuse to cooperate 2. Lie to the investigator 3. Do not advocate for yourself 4. Believe your “friends” have got your back 5. Lie to yourself 21
- 22. How to Avoid the Major Mishaps 22
- 23. The Easy Stuff! 1. Build that system that you have been putting off 2. Play the long game 3. Make environmental scanning a best practice 4. Don’t go it alone 5. Challenge yourself and others as a matter of practice 23
- 24. What You Need to Do Right Now If you are a Business Leader 1. Take ownership 2. Show that you care 3. Ask for help If you are a Human Resources Leader 1. Scan for risks and trends 2. Conduct a needs assessment 3. Empower the business leaders If you are a Workplace Investigator 1. Review your current practices 2. Adjust for excellence 3. Reach out to a peer to chat 24
- 25. Closing thoughts • You may never find yourself having to defend your work • Critical mistakes can and should be avoided • There is so much great support out there • Raising the bar is really hard Please send an email titled “Information” to kenneth@integritybymccarthy.ca if you would like to have access to similar material on preventing and resolving workplace issues. 25
- 26. Thank-you for participating Ken McCarthy kenneth@integritybymccarthy.ca 1-613-794-6127 Contact i-Sight j.gerard@i-sight.com Find more free webinars: http://www.i-sight.com/resources/webinars @isightsoftware 26