Conducting investigations with integrity: Best practices for fair and timely outcomes
Subscriber Benefit
As a subscriber you can listen to articles at work, in the car, or while you work out. Subscribe Now
As a business professional, manager, HR leader, or company owner, dealing with employee investigations is a part of the job. Whether you’re investigating harassment claims, employee misconduct, or policy violations, the process requires a thoughtful, structured approach. You might also have someone on your team who is looking for expertise to guide them in the right direction on how to handle investigations and the situations that warrant them. It is crucial to understand what goes into a solid investigation process, one that reduces risk while also treating everyone involved fairly.
The Foundations of a Strong Investigation
First and foremost, consistency is key. It is absolutely vital that investigations are handled the same way each time to avoid potential claims of bias or discrimination. This means creating a clear, standardized process that outlines each step, from receiving the complaint to concluding the investigation. Consistency helps you identify patterns over time and the ability to address inconsistencies that could damage your organization’s credibility.
However, consistency is only one part of the investigation equation; discretion is equally important as well. Investigations are sensitive, and they require a level of confidentiality to protect the privacy of all that are involved. It is critical to limit access to information about the investigation, both during and after the process, to ensure that all parties are treated with respect and dignity. Be sure to remind everyone involved that the information gathered is for investigative purposes only, and unnecessary discussions should be avoided.
Another factor that cannot be overlooked is timeliness. Delaying investigations can lead to frustration with both the claimant and the person(s) being investigated and make it more difficult to gather accurate information. To reduce risk, you must aim to complete investigations promptly, but also without sacrificing thoroughness. As part of your process, set clear timelines for each phase of the investigation, from gathering evidence to issuing a final report. Keeping the process moving ensures that all parties involved get the resolution they need.
Don’t Lose Sight of the Human Element
No matter what the results of an investigation are, it’s essential that everyone is treated fairly and humanely throughout the process. This means giving everyone an opportunity to present their side of the situation, while also ensuring that their rights as an employee are protected. Remember, the purpose of an investigation is to get the truth, not to punish. No matter if the results are in favor of the complainant or the alleged wrongdoer, always communicate the findings with transparency and respect.
To make this happen, maintain neutrality. As the investigator, you are not advocating for one side or the other; you are gathering facts. A skilled investigator should have the ability to separate themselves from any biases or preconceived notions and to objectively review the evidence. This can be a challenge, but remember investigations are free of judgement until facts are in. If you aren’t sure you can remain unbiased, consider having a third-party organization handle the investigation.
Training and Preparation: The Key to Reducing Risk
Training is an important aspect of investigating soundly. Ensuring that those involved – whether investigators, managers supporting the process, or even those evaluating the report – understand their role and responsibility to the process. Managers must be equipped with the right skills to handle sensitive situations, manage potential conflicts, and support employees through the process.
The following areas are where training is a key component:
- Investigation Process: Anyone involved in an investigation should be well-versed in the procedure, so they understand how to document information, what questions to ask, and how to interact with the parties involved.
- Confidentiality and Privacy: Emphasize the importance of confidentiality and explain what information should be kept private. Provide guidance on how to handle sensitive information and who needs to be in the loop.
- Bias Awareness: Teach those handling investigations how to identify and avoid unconscious biases. This will help reduce the risk of discrimination or unequal treatment during the process.
- Documentation: Proper documentation is key to defending decisions in case of legal challenges. Teach those involved how to document every step of the investigation clearly and accurately.
- Empathetic Approach: Encourage empathy and sensitivity throughout the process. Whether someone is the complainant or the person under investigation, they should feel heard, respected, and supported throughout the process.
- Legal Considerations: Make sure everyone is familiar with relevant laws and regulations. Understanding what is legally permissible during an investigation can help avoid potential litigation down the line.
Reducing Risk Through Best Practices
By implementing these strategies and focusing on the pillars of consistency, discretion, timeliness, fairness, and humanity, you can reduce the risk of an investigation process that is unnecessarily contentious or legally problematic. The best way to reduce risk in investigations is to handle them with consistency, care, competence, and clarity.
Remember, it’s not just about ticking off boxes. It’s about creating an environment where employees feel their concerns are taken seriously, while also protecting your organization. As you focus on what you’re great at, you can trust that your investigations are being handled with expertise, ensuring peace of mind for both you and your team.
If you’re still feeling uncertain or need further guidance, don’t hesitate to seek out a professional with expertise in investigations. The peace of mind that comes from knowing you’re doing it right is worth the effort.
Kourtney McCauliff is the Vice President of Consulting Services at Purple Ink (www.purpleinkllc.com). She loves to cultivate cohesive teams and develop strong leaders to lead them.