Conducting a workplace investigation can be a complex and challenging process. However, with careful planning and a clear understanding of the key considerations, managers can simplify the process and minimise potential pitfalls.
Getting Started
When determining that an incident in the business requires investigation, one of the first decisions to make is whether to engage an internal or external investigator. It’s important to consider the following factord when making this choice:
Complexity – Assess the complexity of the matter. If it involves intricate legal or technical issues, an external investigator with specialised skills may be preferable.
Legal professional privilege – Determine if the investigation needs to be covered by legal professional privilege. Engaging an external investigator can provide the necessary legal protection.
Seriousness of allegations – Consider the severity of the alleged conduct. More serious allegations may require the objectivity and credibility that an external investigator can bring.
Employee seniority – Consider the relative seniority of the employee/s involved. If high-level executives are implicated, an external investigator can ensure impartiality.
Proximity and independence – Evaluate the proximity of potential investigators to the individuals involved. Maintaining independence is crucial for an unbiased investigation.
Resources and expertise – Assess your businesses resources and its ability to conduct the investigation internally. Engaging an in-house investigator can be more cost-effective and efficient for straightforward cases but can lead to investigations being called into question if they demonstrate a biased outcome.
Remember, regardless of whether a business decides on an internal or external investigator, it’s crucial to ensure their independence and refrain from attempting to influence the outcome or findings of the investigation.
Adapting and navigating throughout the investigation
During the investigation process, circumstances may change, and it is essential to remain flexible and adapt to ensure procedural fairness and minimise risks. Consider the following key considerations and takeaways:
Timeliness and thoroughness – Conduct a thorough investigation while maintaining a reasonable timeline. A hasty investigation may compromise fairness, while an unnecessarily prolonged one may increase costs and disrupt operations.
Procedural fairness – Afford the employee/s involved procedural fairness at every stage of the investigation. Provide relevant materials, an opportunity to respond to allegations, and ensure thorough and unbiased inquiries.
Documentation and records – Keep comprehensive records of all aspects of the investigation, including interviews, evidence collected, and any decisions made. These records can serve as valuable evidence in case of disputes or claims.
Employee privacy and confidentiality – Respect employee privacy throughout the investigation process. Share information on a need-to-know basis and protect sensitive information to maintain confidentiality.
Communication – Maintain open and transparent communication with all parties involved, including the complainant, witnesses, and the accused. Communicate the progress, timelines, and any relevant updates to ensure clarity and fairness.
Legal compliance – Ensure the investigation process aligns with applicable laws, regulations, and company policies. Seek expert advice when necessary to navigate complex legal aspects of the investigation.
Conclusion
Beginning a workplace investigation can be a daunting task, but with careful planning and a thorough understanding of the key considerations, you can simplify the process and increase your chances of a successful outcome. By choosing the right investigator, adapting to changing circumstances, and adhering to principles of procedural fairness, you can effectively manage risks and protect both your employees and your business.
At Cornerstone, we have qualified and accredited investigators on our team and have managed many large and complex investigations. If you need guidance and support in this space, get in touch with our team now – we can help!
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