A quick search on Reddit or Google will reveal that workplace investigations often seem shrouded in mystery. Every person involved—complainant, respondent, and witnesses alike—enter the process with questions: Why has my complaint become an investigation? What will I be asked? How do I prepare? What now?
As an impartial workplace investigator who has conducted upwards of 150 investigations for various types of workplaces, ranging from small businesses to multinational organizations, I offer pointers to demystify investigations.
Tips for Complainants
Understand the Investigator’s Role: The investigator’s role is to gather evidence about behavior that crosses the line and is unacceptable in any workplace. Such behavior may violate your organization’s internal policies or code of conduct, or the law. Investigators usually do not evaluate day-to-day management or operational decisions that do not impact policies or the law. This is because, as an outsider to the organization, the investigator cannot judge these decisions knowledgeably or fairly. So, during your interview, though you may desire to share information about managerial decisions you disagree with, the investigator will focus on your experiences that involve policy and law, and will ask you to identify the most relevant and impactful ones.
Provide Examples: When detailing your concerns, try to provide specific examples. Remember to include the date, time, location, and nature of each incident. This helps the investigator gather precise and relevant information. For instance, while saying, “I felt uncomfortable during meetings,” provides some information, a more detailed description is more helpful. One example: “On January 15, during the team meeting in the conference room, I felt uncomfortable when John repeatedly interrupted me while I was presenting my report.” Specificity allows the investigator to ask follow-up questions to gather more relevant information and ensure a thorough investigation.
Document Your Experiences: Keep a record of any relevant incidents, including dates, times, locations, and any witnesses. Written documentation can be crucial in supporting your claims and providing the investigator with a clear timeline of events.
Tips for Respondents
Nuances Matter: Be clear in your language and details. The answer “no” differs from, “I do not recall.” “No” is a denial while “I do not recall,” implies that something may or may not have happened. Similarly, saying, “I would not have done that,” is not the same as saying you did not do what was alleged.
Understand the Investigator’s Role: Feeling stressed and anxious about an investigation is natural, but understanding the investigator’s role can help you remain calm and professional. The investigator is there to gather facts, not judge you personally. They will inform you of the allegations and give you a fair and full opportunity to respond. Some allegations, even if true, may not amount to misconduct. For example, a misunderstanding or difference in perception between colleagues may lead to an allegation that does not necessarily violate any policies or laws. The investigator’s job is to gather information, assess witness credibility, and make findings of fact regarding what did or did not occur. In most cases, the organization will apply those findings to its policies and determine whether a policy violation or other misconduct has occurred.
Avoid Speculation: In most cases, the investigator will not reveal the identities of the complainant or the witnesses, or the information they provided. Maintaining this confidentiality is necessary to protect individuals’ privacy and to prevent harm to existing working relationships among colleagues. For this reason, it is important not to guess or speculate about who said what, or who might be involved in the complaint. Instead, focus on providing accurate and relevant information.
Tips for All Participants
Advocacy versus Impartiality: While attorneys have a duty of loyalty to their clients, this duty is not absolute. In the context of an independent investigation, the investigator’s role is not to be an advocate. Rather, the attorney investigator’s primary responsibility is to conduct a fair and thorough investigation, even if the findings are not favorable to the employer. This impartiality is crucial to ensure the integrity of the investigative process.
Neutrality in Interviews: By maintaining a neutral stance, the investigator can focus on gathering and assessing evidence without bias. This means that the investigator will not provide emotional support in ways a friend or colleague might. While this approach may feel disconcerting, it does not reflect a lack of understanding or empathy on the part of the investigator. Instead, it is designed to uphold the standards and integrity of the process.
Findings Can be Complex: Often, investigations and their findings are complex. It is not unusual to have an allegation partially sustained, meaning that only some aspects of the allegation are sustained, or the allegation is sustained, but the alleged motivation is not sustained. This is consistent with investigators’ role to avoid “siding with” one party or another, but instead, to gather evidence to make findings based on what that evidence reveals.
Conclusion
Navigating through workplace investigations can be a daunting experience for all parties involved. Understanding the roles and expectations can alleviate some of the uncertainty and discomfort. Ultimately, the goal of an investigation is to ensure a fair, thorough examination of the allegations and an informed resolution that upholds workplace standards and integrity.
