When Do Workplace Issues Need an Investigation?
When a serious workplace issue comes up, one of the first questions is often: do we need to investigate this formally?
For allegations of misconduct, bullying, harassment or discrimination, a formal investigation may be needed to establish what happened before any decisions are made. But an investigation isn’t always the answer.
And that’s where things can get tricky. How do you know when a formal investigation is actually necessary, and when there’s a simpler, more appropriate way forward?
Here’s what you need to know.
Workplace issues that may require a formal investigation
Some employment relations matters are more likely than others to require a formal investigation, particularly when the allegations are serious, the facts are disputed or there is evidence that needs to be gathered. The right approach will still depend on the circumstances.
Here are some of the situations where an investigation may be needed.
Allegations of misconduct
When serious misconduct is alleged, the first challenge is often establishing exactly what happened. A formal investigation may be needed where the facts aren’t clear or different people have different accounts. This could include allegations of dishonesty, theft or fraud, violence, serious policy breaches or other inappropriate workplace behaviour.
For something minor or relatively straightforward, you may not need to go that far. The key is making sure you have enough information to make a fair decision and that the employee has a genuine opportunity to respond.
Bullying or harassment complaints
Bullying or harassment complaints can be difficult to navigate, particularly when people have very different accounts of what happened. And when relationships are already strained, simply getting a clear picture of events can be challenging.
Where the allegations are serious, repeated or disputed, a formal investigation may be necessary to establish the facts and determine what should happen next.
Discrimination
A discrimination complaint can raise questions that aren’t easy to answer at first glance.
Where those answers aren’t clear, a formal investigation can help build a clearer picture of what happened, hear from the people involved and gather the information needed to decide what comes next.
How to decide if an investigation is needed
There’s no single test for whether a workplace issue needs a formal investigation. The process needs to fit the circumstances, so start by looking at what’s been raised, what you already know and what you still need to find out.
A few useful questions to ask are:
How serious are the allegations?
What information do you already have?
Are the facts clear, or are they disputed?
Is there evidence or witness information that still needs to be gathered?
Could the matter lead to disciplinary action?
What do your employment agreements and workplace policies require?
Could the issue be fairly addressed through a simpler process?
Taken together, those answers should give you a much clearer sense of whether you need to investigate further, and what a fair and proportionate process might look like.
When a simpler approach may be enough
A more informal approach may be appropriate where:
The issue is minor or a one-off. Sometimes a conversation is all that’s needed to understand what happened, address the concern and move forward.
Minor misconduct is straightforward. If the facts are already clear and the issue isn’t serious, there may be no need for a separate formal investigation.
An initial conversation clears things up. A few preliminary enquiries may give you the information you need to work out the right next step.
It’s a performance issue rather than misconduct. If the concern is about how someone is doing their job, a performance process will generally be more appropriate than a misconduct investigation.
The important thing is not to make the process bigger than it needs to be. The response should fit the issue in front of you.
When should an investigation be handled independently?
Once you know an issue requires a formal response, the next question is: who should run it?
Not every workplace investigation needs an external investigator. Some can be handled internally by an appropriate manager or HR professional who can approach the issue neutrally, consider the facts fairly and avoid any conflicts of interest.
There are times, though, when some distance from the situation really matters. For more complex or serious matters, bringing in an independent investigator may be more appropriate. That could include allegations of sexual misconduct or suspected fraud, or situations where internal relationships create an actual or perceived conflict of interest.
Think about who’s involved and who you have available internally. Do they have the right experience and independence? Will everyone involved have confidence in the process?
Need help deciding the right path?
Sometimes, answering those questions is the difficult part. When you’re close to
the situation, it isn’t always easy to judge how formal the process needs to be, or whether it should stay in-house.
PeopleEX can bring an experienced outside perspective to help you work through those decisions. Whether you need guidance on the next step, additional capacity alongside your HR team or independent support with the process, we can step in where you need us.
