Prioritising 'people' in workplace investigations

As organisations face increasing obligations under WHS reforms to identify, manage and control psychosocial hazards, the need to conduct thorough workplace investigations will also increase.  But workplace investigations of themselves, have the potential to be extremely traumatic for participants.  This is because the outcome can result in serious consequences that can change people’s lives. An investigation that is poorly executed can lead to  stress, anxiety, sleep disorders and depression ie psychological harm.

The challenge for employers is to conduct workplace investigations that succeed in eliciting the facts surrounding an incident, without causing psychological harm to the employees involved. To achieve this objective, psychological wellbeing must be the focus and the priority.

Workplace investigations

A workplace investigation is a process of gathering information to uncover the facts surrounding a reported incident. The incident usually relates to an allegation of misconduct, or a breach of regulation or organisational policy. The reason for carrying out an investigation is to address any issues of concern through a fair and transparent process.

The investigations are conducted according to prescribed guidelines that ensure the process is effective.  An effective investigation is one that succeeds in establishing the truth so that the allegation is either substantiated or unsubstantiated and the appropriate  course of action can be taken. To achieve this end,  the core tenets of procedural fairness, confidentiality, impartiality, timeliness and thoroughness must be observed

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Establishing the truth

In my experience, the most critical part of the investigation process is the interviews that are held with the participants. This is because the interviews provide a depth of insight that cannot be gained from a written report. A written report for example, cannot convey fear, anxiety, stress, intimidation  or any other clues that are core to isolating the facts. Moreover, a written report is not helpful for understanding context and backstories that may be relevant to the incident.

But as an investigative tool, the interview is only effective if the investigator is proficient at eliciting the truth from an interviewee. It is important that the interviewee, who is potentially vulnerable, feels psychologically safe enough to disclose all of the relevant details. While the integrity of the process is one determining factor in ensuring the psychological safety of the participants, it is the investigator who is key. The investigator is a critical intermediary between the evidence and an effective outcome. They therefore need to possess the qualities that will enable them to  rapidly establish a relationship of trust with the parties they are interviewing. For this reason it’s critical that the investigator is impartial and preferably, external to the process. They need to be relatable, active listeners who are able to engage with the parties and ensure that they experience the conversations as open, candid and safe.

A workplace investigation is more than just a process of gathering information to uncover the facts surrounding a reported incident. It’s an unearthing of sensitive information from fragile employees who have much at stake.  But if psychological wellbeing is the guiding principle, the  outcome will be an effective investigation that succeeds in establishing the truth without causing psychological harm to the employees involved.