"Seven Strategies for Peace of Mind: Ensuring Defensible and Thorough Workplace Investigations"

At the conclusion of a workplace investigation there is inevitably going to be a party that is unhappy with the result, may even challenge the findings and possibly contest them in some way. While there are several approaches to handle this, today we want to focus on how you can feel confident that your investigation has been thorough, fair, and compliant. Achieving peace of mind with a defensible and compliant decision is the best way to address these challenges. This process typically starts before the investigation begins and involves meticulous planning, execution, and review:

1. Ensure that your process complies with relevant legislation.

Does it define how investigations are conducted and specify an appropriate time frame? Does it outline who the investigator is and their qualifications for the task? Does it include steps for reviewing the final report, communicating outcomes to relevant parties, and maintaining confidentiality? If any of these components—or other i i important elements—are missing, clarify and consistently implement them within your policy.

2. Define the scope of the investigation.

Clearly outline what is being investigated. In some cases, multiple complaints may be included in the initial report. Break down these components to ensure each issue is addressed. Set parameters for the investigation; while these may evolve as new information emerges, it’s essential to have an initial framework.

3. Prepare thoroughly.

Use the initial report to identify interviewees and develop a list of questions specific to the complaint. Ensure you are clear on what needs to be asked of all parties.

4. Interview all relevant parties and document their statements thoroughly.

If possible, record the statements or use voice transcription to capture all relevant details. Provide witnesses with an opportunity to review their statements and confirm their accuracy by signing off. Repeat this step as necessary to clarify any questions that arise during individual interviews. Additional potential interviewees may emerge during the process—make sure they are included.

5. Gather and document all evidence.

Record the source and date of all evidence and store it securely to maintain confidentiality. Rely on concrete evidence from multiple sources—such as interviews, documents, and surveillance (if available)—to gain a comprehensive understanding of the situation.

6. Maintain neutrality.

Approach every aspect of the investigation with objectivity, avoiding assumptions or preconceived judgments.

7. Conduct peer reviews prior to finalizing the report.

Implement a process to review findings and conclusions. Peer reviews enhance accountability and may help identify missed information or gaps in the investigation.

Workplace investigations can have serious repercussions for all parties involved. Ensuring that investigations are thorough, fair, and defensible fosters confidence in both the investigator and the organization, regardless of how the affected parties respond. 

If you would like to discuss further or need help with some of these strategies, reach out to us at info@hrtraction.com or visit www.hrtraction.com.