5 Key Values for Conducting an Equitable Investigation

Fair workplace investigations require employers and investigators to be mindful of equity, diversity and inclusion (EDI) considerations throughout the process. By letting these 5 key values guide an investigation, investigators can ensure an equitable result.

1.       Prompt

Employers should respond to investigations promptly. This doesn’t mean investigators should do away with planning, but it does mean initiating an investigation into an employee complaint within a reasonable time. By responding promptly, employers show employees that reported allegations of misconduct, discrimination, harassment and retaliation are taken seriously. Employers also limit their liability by addressing potential issues appropriately and early.

2.       Timely

Once a complaint has been made, investigators should engage in a timely investigation. This means planning, scheduling and conducting interviews, reviewing relevant documentation, analyzing facts, reaching findings and conclusions and making recommendations within a reasonable time. While there will certainly be timing issues related to witness availability and information gathering, employees should be encouraged to report concerns as they arise and investigators should engage in a timely investigation to prevent issues that arise with the passage of time as memories fade, employees resign and/or retire, and documents are lost.

3.       Thorough

An investigator should engage in a thorough investigation to protect the integrity of an investigation. This will help establish employee trust in the process and employer accountability. A thorough investigation entails:

• Get the complete story from the complainant

• Get a complete response to allegations from the respondent

• Interview all witnesses I.e. those identified as relevant by the complainant and respondent

• Review all documentation

• Detailed and standardized note-taking procedure

4.        Transparent

Transparent investigations establish employer accountability, integrity and credibility. To ensure transparency, employers and investigators should widely disseminate the complaint resolution and investigation process. Investigators should provide periodic updates to parties (leadership, complainant(s), respondent(s)) regarding investigation status. Upon conclusion of an investigation, Investigators should provide the employer with a full report of findings, conclusions, and recommendations (if requested). In addition, Complainant and the Respondent should receive and are entitled to (1) notification that the investigation has concluded and (2) a summary of the findings. Further, employers may consider informing complainants regarding the responsive action taken (taking into consideration issues of confidentiality).

5.       Confidential

Confidentiality is integral to the integrity of an investigation. We all know how difficult it is to get unfiltered information once the rumor mill gets going. Investigators should not overpromise on confidentiality, and it should be made known that relevant information will be provided to those with a need-to-know basis (leadership, complainant, respondent, and/or witnesses) to facilitate fact gathering. Investigators should also communicate to investigation participants the expectation of confidentiality and advise participants to refrain from discussing investigation matters with coworkers. Further, participants should be made to sign written confidentiality agreements.

Keeping these values central to an investigation will build employee trust in the investigation process and ensure employer integrity, accountability and credibility.