Many workplace complaints, formally submitted or not, can be resolved informally through follow-up and discussion with both the complainant and the respondent. However, if a complaint contains serious allegations which, were they to be true, would constitute a breach of your organization’s policy or policies, or would otherwise be problematic, a formal workplace investigation may be warranted. Examples might include allegations of theft, fraud, harassment, assault, human rights violations, violence or serious conflicts of interest. At this point, the organization will need to determine whether they have the time, skill and impartiality to conduct a fulsome investigation or whether an independent third-party with experience conducting such investigations may be preferable. Workplace investigations should be grounded in four principles: fairness, thoroughness, confidentiality and timeliness.

The investigator, regardless of whether they are internal or external, should seek and document the scope or mandate of the investigation at the outset. This establishes early in the process the fences around which the investigation will be conducted and whether it, should additional allegations come to light during the investigation, can be expanded to include those additional allegations. It will also establish whether the investigator is limited to a “finding of facts”, or whether the organization wishes the investigator to also make a determination as to whether there was a policy breach or make recommendations regarding remediation. Typically, investigators will first advise the parties as to the process the investigation will follow. Following this, the investigators will meet with the complainant to formally acknowledge, confirm understanding and document the nature of the complaint. They may also ask the complainant what they would like to see as an outcome. Through a series of interviews, investigators will then document the respondent(s) response to the allegations made in the complaint. Collecting and extensively reviewing any documentary evidence will also take place. This documentary evidence analysis can be extensive depending on the nature of the investigation and may include things such as text messages, emails, organizational documents, reports, or video surveillance. Relevant witnesses may also be sought and interviewed as part of the investigation. Any contradictory evidence will also be put to the parties.

Following a thorough analysis of all the evidence collected during the investigation, investigators will typically document their findings in a written report. Depending upon the mandate given to the investigators, the report may contain a finding of fact (what happened), a determination (does it constitute a breach of something), and recommendations (what should be done about it).

Because of the need to create a finding of fact (typically through a written report) full confidentiality through the process should never be guaranteed to those involved in the investigation. However, investigators should always strive to maximize confidentiality by limiting interviews to only those necessary to the mandate of the investigation and limiting disclosure of details whenever possible. Doing so will ensure that the integrity of the investigation is maintained and that it does not become tainted with the perception of having become a “witch hunt.” Although in theory the process of a formal investigation appears straightforward, in reality they are very seldom so. Investigations often need to be conducted in workplaces where trust may have been broken, emotions are high, complainants are anonymous, or where counter-allegations are made.

Formal investigations can be potentially disruptive to an organization and must be handled with discretion and with the skill needed to balance the four principles noted above. resolveHR has conducted numerous workplace investigations and is a member of the Association of Workplace Investigators. We have the experience to handle investigations in a way that not only preserves fairness, thoroughness, confidentiality and timeliness, but also in a way that doesn’t break the bank. Reach out to us if you need help.