Tip of the Iceberg? – Workplace Assessment Tips

Workplace investigations and workplace assessments look a lot alike. The process of interviewing and generating a comprehensive report is usually the same for both. The term “assessment” exists to distinguish it from a garden-variety investigation. Investigations answer, “What happened?” Assessments answer, “What is going on?” Assessments are proactive where investigations are reactive. The distinction is primarily one of scope. The scope of an investigation is driven by discrete allegations of the complainant(s). The scope of an assessment is wide-open by comparison, which makes conducting assessments challenging. There is only a problem or suspicions of a problem.  Here are five tips to keep in mind:

1. Avoid “scope creep” by actively managing the scope of issues involved throughout the process, and especially at the start. Where initial identification of scope is lacking, interviews resemble assisting employees in responding to the question, “What would you like to complain about in your workplace?”

2. Identify the primary issues for attention. These are often reflected in three to five questions to address with each participant. Scope modifications may develop based on provision of additional concerns that should be supported by facts, rather than speculation.

3. Preserve the expectation that employees use complaint procedures. Engaging an assessment is an exceptional measure that does not displace your EEO policy or like policies that encourage identification of misconduct. It’s a good idea to say so.

4. Manage expectations appropriately. Employee identification of workplace concerns creates a corresponding expectation of employer action. Assessments often necessitate qualifying the organization’s intention to take action regarding ancillary concerns.

5. Prohibit retaliation for good-faith participation. As in investigations where the applicability of legal prohibitions against retaliation are not always clear, the integrity of a workplace assessment warrants the prohibition. If concerns justify engaging an assessment, it follows that no one should be penalized for participating.

Engaging an assessment places a high degree of trust in the investigator to manage scope appropriately. The goal of the final product is to provide insight based on facts and informed perspectives to support improved communications, strategic management, coaching, and corrective action. Where an assessment only resembles an extensively documented employee-opinion survey, it has gone off course.

Promoting the Investigations Profession

The Denver Local Circle of the Association of Workplace Investigators meets Thursday, September 3rd from 4:30 to 6:00pm at Liz Rita’s office -2401 15th St., Set 300. After socializing, we will share and discuss investigator engagement agreements. This is a great opportunity for internal investigators to learn more about AWI and engaging third-party investigators. Email Liz or me to register: liz@wpi-workplace.com or mflynn@emfig.com. This invite modifies the following earlier post.

The expectation of appropriate investigations at workplaces and on campus has required employers and schools to build internal human resources to meet the need. Frankly, all situations that need investigation do not justify retaining an outside investigator. These facts make associations and resources that promote the profession to all levels of experience and would-be investigators invaluable. I am a sustaining member of the Association of Workplace Investigators. I serve on its Guiding Principles and Member Benefits committees and work with my colleague Elizabeth Rita to convene the AWI Denver Local Circle. Check out www.aowi.org to learn more about this excellent organization and it valuable resources. The Denver Local Circle meets bi-monthly and non-members are welcomed to attend to learn more. Just contact Liz or me to register.

The Workplace Investigations Group led by Lorene Schaefer is another excellent resource. WIG offers a national directory of investigators with at least ten-years experience.

There are many decisions to make toward conducting an “appropriate”investigation. This is a developing profession that is well served by individuals and groups dedicated to promoting best practices and investigation integrity.

Welcome to EMFIG.com

Mark Flynn workplace investigator attorneyFor my first entry, I want to say a little about my business and how it came to be – kind of a vision statement too. To start this endeavor I left my job; my very stable, fine job with an outstanding organization. I recognized that I was roughly half-way through my career. I asked of myself, “What do I want to do from here?” “What example do I want to make for my family?”  I want to run a good business that delivers quality work through exceptional internal and external customer service and continuous improvement. I want to focus on workplace investigations because it is valuable work I enjoy, and I believe that I am good at it. Whatever the underlying issue, what ultimately makes a good investigation is the intent to get it right. That means getting to the truth of the matter. Of course, we all have our individual perspectives on what is “true,” which will be a recurring theme in my posts. For purposes of this post, I rely on one of the few essential truths that most if not all people agree on: “Time flies.” (I will add my personal addendum here that, like gravity, the speed at which time flies speeds up over the span of our lifetimes.) From there insert, “Carpe diem,” “Find your contentment” or whatever works for you.