This article was co-authored by Labor + Employment group lawyer, Christopher Costain.
Workplace issues can arise quickly and take many forms, from complaints of discrimination, harassment, retaliation, and bullying to policy and compliance violations related to workplace safety or other employee misconduct. In the post-#MeToo era, it is critically important for employers to be vigilant in addressing these issues by conducting workplace investigations that are impartial, thorough, and provide a fair process and a meaningful opportunity to be heard for the individuals involved. Thorough workplace investigations can improve culture, mitigate legal risk, and support employee relations.
In the manufacturing industry, workplace investigations often require a tailored approach due to several factors such as fragmented and varying work shifts, production pressures, and unique workplace layouts (e.g., manufacturing plant, etc.), among other issues. In this post, we outline five key essentials for workplace investigations with a focus on investigations in a manufacturing workplace.
Essential #1: Selecting an Impartial Fact Finder (Investigator)
Manufacturers should consider the importance of conducting an objective and impartial fact-finding investigation. This means that manufacturers should determine who will conduct the investigation – whether an external investigator without prior knowledge of the parties or issues involved is appropriate, or an internal investigator who may have relevant institutional or process-related knowledge is required. Once determined, it is important to consider what individual is best suited. Whether internal or external, the investigator should be skilled in conducting workplace investigations and must be impartial; even if internal personnel conduct the investigation, the individual must do so impartially.
Essential #2: Managing Investigation Logistics in a Manufacturing Workplace
Witness interviews are key to fact-gathering, and the associated logistics may require particular attention in manufacturing workplaces. Employees may travel among worksites or customer facilities, work primarily on production floors, or lack access to private offices, conference rooms, or work email accounts. Investigators should therefore plan interviews around times and locations that allow each witness to participate in a secure, private, setting free from disruption where a confidential interview may be conducted.
When coordinating witness interviews, manufacturers should account for varying schedules, break periods, and operational coverage needs so that the investigation does not significantly disrupt operations or jeopardize workplace safety. Where email is unavailable or impractical, employers should consider using alternative methods, including phone calls, written notices, or in-person communications. All communications should be limited to necessary scheduling information and avoid revealing unnecessary details about the investigation, as well as be documented so that witness communications and scheduling efforts can be tracked.
Essential #3: Maintaining Confidentiality & Prohibiting Retaliation
It is important to understand state and federal law regarding confidentiality so that witnesses can be properly informed about any obligations to maintain the confidentiality of the investigation. Under current National Labor Relations Act case law, employers may advise interviewees to maintain the confidentiality of the investigation while it is ongoing but cannot require interviewees to maintain such confidentiality after its conclusion. Additionally, confidentiality limitations should encompass only the information employees learn or provide within the course of the investigation. There may also be additional restrictions regarding confidentiality and the disclosure of information related to the investigation under local and state law of which manufacturers should be aware.
Retaliation is prohibited by the employer with regard to participating in and cooperating with the investigation and employees must understand this. To that end, expressly remind interviewees that retaliation is not tolerated, and if they are subjected to retaliation (or they retaliate against another individual) , that retaliation is prohibited under the employer’s specific policies. Manufacturers should also consider designating an individual to whom concerns regarding retaliation may be reported and ensure that witnesses know to contact that individual if they feel they have been retaliated against. A strong and clear anti-retaliation message can assist in mitigating the risk of retaliation and—at a minimum—can increase the chance that witnesses will report if retaliation occurs.
Manufacturers should consult with counsel regarding these key concepts.
Essential #4: Selecting the Report
At the outset of an investigation, determining how and through what means the employers’ findings will be communicated can be planned in advance. Depending on factors such as the nature of the allegations, the audience, privilege considerations, and the manufacturer’s needs, the investigator may prepare: a full written report; a shorter executive summary; an oral readout; or another tailored form of findings. Regardless of format, the findings report should clearly identify the scope of the investigation, the issues reviewed, and the factual findings supported by the evidence. The investigator should apply the applicable standard of proof (typically the preponderance of the evidence standard) in assessing whether the evidence shows that the alleged conduct “more likely than not” occurred. Where appropriate, and within the scope, the report may also include policy determinations.
Essential #5: Asserting the Attorney-Client Privilege
The decision whether the attorney-client privilege will apply to the investigation, relevant documents such as witness notes, and to any report that is drafted is always at play. That determination will depend on a variety of factors. If an investigation is conducted under the attorney-client privilege, this can protect the integrity of the investigation and help to mitigate legal liability by enabling the employer to make informed decisions based on the findings of the investigation. If litigation ensues, and the investigation and report are protected by the attorney-client privilege, an employer can decide whether it is prudent to waive the privilege, which will subject the investigation report and other investigation-related materials to disclosure in the discovery process. Just because an attorney has conducted or supervised the investigation, or the report is marked “privileged,” does not mean that the investigation and any report will be privileged, so it is best to consult with an attorney with regard to this key concept.
Conclusion
Many issues that arise on the manufacturing floor require prompt, thorough, and impartial investigation. Manufacturers should be mindful of these workplace investigation essentials when planning the investigation around both legal requirements and operational realities. By combining prompt action with thorough and objective fact-finding, manufacturers can support employees, build trust, and make informed, fair, and legally defensible decisions.