How to tell if you need a workplace investigation, or something else.
Working out the right first step when concerns are raised at work
First contact usually happens in much the same way: a call, text or email - something has happened, it’s often been building for a while, we think we need a workplace investigation. Can you help?
I’m always happy to help. But first we need to work out if an investigation is the right place to start. Sometimes it is, and sometimes it’s not.
Determining this before anything formal starts is one of the most useful conversations an employer can have. It’s a small time investment that shapes everything that follows.
What an independent investigation is
An independent workplace investigation is a fair and impartial process for establishing the facts about specific concerns or allegations that have been raised.
It could surface in several different ways:
A complaint from an employee about alleged actions or behaviours of another employee.
Concerns raised collectively by a group of staff, or by a customer of the organisation.
Results of a workplace survey that suggest the possibility of inappropriate behaviour by one or more employees.
Someone external to the organisation carries it out, with no stake in the outcome and no prior involvement in the matter. The investigator interviews the relevant parties, gathers and weighs the available information, then makes findings about what happened, based on what is more likely than not.
An independent investigation protects both the organisation and the people involved. It helps bring confidence that the process will be fair and unbiased.
What it is not
This part matters just as much, and it is where a lot of the confusion can often lie:
It is not a disciplinary process. The investigator does not decide what should happen to anyone. Those decisions rest with the employer.
It is not legal advice. That’s the employment lawyer’s role.
It is not a general review of your workplace. An investigation looks at the specific concerns or allegations raised within the agreed scope of the investigation. Wider matters such as culture, systems or policies may form part of it, depending on the scope, but the starting point is always the allegations.
Being clear about this from the outset keeps the process fair, and helps everyone understand what the investigator is there to do.
When an investigation is the right step
You do not need to wait for a formal complaint. It is worth considering an investigation whenever concerns have been raised, or have come to your attention, that are serious enough or complex enough to need looking into properly and fairly.
Common triggers include allegations of bullying, harassment or discrimination, alleged misconduct, or a possible breach of workplace policy or a code of conduct.
An investigation is often the right step when:
the concerns are serious and/or of a sensitive nature
the situation is contested, or the facts are unclear
the matter is complex, or involves several people
handling it internally could risk a perception of bias, for instance where the people involved are well known to those who would otherwise look into it.
Investigations also need to be run by someone experienced. They take time and care, and they need to commence promptly. Do you have the resources needed?
If you’re weighing it up, a useful question is whether you can point to specific things that are said to have happened, involving specific people. If you can, an investigation is likely to be the right fit.
When something else fits better
Sometimes the concerns are entirely real, but they don’t take the form of specific allegations or events. There’s nothing in particular to put to anyone, and no single question that a finding could answer.
It might be a pattern rather than an incident. A team that has stopped working well together. Turnover that keeps climbing. Concerns that are less about what one person did, and more about how things are run, how decisions get made, or how people are treated day to day.
An investigation is designed to establish what occurred and answer the question: did this happen, or not?
Where the issues are broader, a review of your workplace, its culture, its systems and processes, or a particular part of the business will usually serve you better. These ask different questions. Not “did this happen”, but “what is going on here, and what would help”.
It is not always one or the other. There are situations where an investigation deals with the specific allegations, and something broader is needed afterwards to address what sits underneath them.
How you tell the difference
A few things do most of the work here.
Your own policies and agreements. These sometimes set out what has to happen when a concern is raised, and that can settle the question before anyone forms a view about it.
A proper scoping conversation. Before any investigating starts, there needs to be a conversation to understand the concerns and agree what is, and is not, being looked into.
Clear terms of reference. This defines the scope of the investigation and states clearly and neutrally what the employer has asked the investigator to determine.
Early legal advice. Where an employment lawyer is engaged, they will often help set the terms of reference and advise on the employer’s obligations and any decisions that follow. If an investigator suggests you talk to a lawyer, that is not them putting you off. It ensures a sound process and one that is appropriate for the situation.
Where an organisation has HR expertise, internal or contracted in, HR is often already involved by this point and well placed to support the scoping conversation and what follows.
Getting these right at the outset is one of the most important steps in the whole process. When an investigation is confirmed as the right step, they help keep it focused. And if another solution would serve you better, you know early on, avoiding wasted time and cost.
Why choosing well matters
An investigation that starts without clear particulars or a clear scope tends to drift. It may take longer than it should, cost more than it needs to, and can end up producing findings that nobody is able to act on.
There is a human cost too. An investigation asks a lot of the people taking part. No matter how much care is taken or how timely an investigation is, it often leaves those involved feeling stressed, anxious or isolated. It’s a confidential process, and can sometimes require special or different working arrangements for those involved whilst it’s underway. Steps can be taken to help navigate these sensitivities, but they won’t completely eliminate them.
That’s why choosing the right approach, whether an investigation or something else, is essential.
It protects the organisation and its people. It helps manage time and cost, and provides the right solution to serve the organisation when the investigation or review is over.
Where to start
With a conversation, usually. An initial discussion helps clarify what has happened, what you are trying to achieve, and whether an investigation is the right step, or whether something else would suit your situation better. There’s no obligation at that stage. It’s simply a time to talk it through in confidence and work out the best way forward.
Investigations are the core of my work. Where a review of your workplace, its culture, or its systems and processes is the better solution, these are also services I can design and deliver for you.
I’ve created a short guide for employers, boards and senior leaders considering an independent investigation. It covers what an investigation involves, how the process works, and who is responsible for what. If that would be useful to you, please get in touch, and I’ll be happy to send you a copy.
Della Henderson, Principal Consultant, Ruru Workplace Solutions