Using a Values-Based Approach to Workplace Investigations: Practical Guidance for Line Managers and HR Professionals

In today’s fast-paced and sometimes complex work environments, fair and effective workplace investigations need more consideration than merely following a policy/procedure; they are a very real reflection of your organisation’s core values. They can test even the most experienced line managers and HR professionals. 

However, by combining robust and consistent organisational procedures with a values based approach, investigations can be handled in a way that reduces your risk as an employer, and reinforces your core values.  For line managers and HR professionals, integrating the following ethical principles into every stage of the investigative process builds a culture of trust, dignity, and transparency.

Embedding Core Values in Investigation Processes

Every investigation should start with an unwavering commitment to fairness and respect. A values-based approach is rooted in the principles of natural justice, ensuring that no individual acts as both judge and jury. By keeping legal concepts such as ‘nemo iudex in causa sua’ (no one should be a judge in their own cause) and ‘audi alteram partem’ (listen to the other side) at the forefront, line managers and HR professionals will be able to demonstrate respect  and fairness for all parties involved.

Prompt notification, adequate sight of the complaint, being given an opportunity to respond and the opportunity for to be accompanied by representation are all fundamental to ensuring that the investigation process emphasises your commitment to integrity, empathy, and accountability.

The Importance of a Preliminary Screening

Every investigation should start with a preliminary screening.  This essential screening phase extends beyond simply fact-finding.  It is an opportunity to align your investigative processes with the above key principles.

Things can happen very fast whenever an accusation is made or a complaint is received. Often, there is a rush to judgement and “finding a fix” to the problem. Emotions may be running high with lots of information coming in to the line manager or HR professional.  When assessing any allegation, it’s essential to treat every claim with impartiality and respect, considering the overall impact on employees and the workplace culture. This approach will transform early investigation into a proactive effort that mitigates issues before they escalate.   

Take a considered approach to setting out what you want to achieve from the investigation process, and ensure that your objectives are aligned to your organisational policies and procedures. Establish what your role in the process is, and ensure that you properly understand the boundaries of this.

By intervening early and fairly, and in a considered way, you not only identify potential risks but also communicate that your organisation prioritises the well-being and dignity of all employees. Once the decision to conduct an investigation is made, ensure that at the earliest stages, the investigation is guided by a clear terms of reference and relevant parties are communicated with promptly.  Also, remind all involved of the importance of confidentiality, and the boundaries as set out by the terms of reference.

Conducting the Investigation Interview

Interviews are at the heart of any investigation, and employing values-driven techniques turns these sessions into genuine dialogues. Preparation ahead of the actual interview is key.  Develop a number of open-ended questions that promote detailed storytelling rather than one-word responses. Ensure that you have set aside enough time to conduct the interviews.  These meetings can be emotional, and all parties need to feel that they are given adequate time and space to give their account.  

Where possible, be sensitive to scheduling the meetings at a time that will work well for the employee (e.g. don’t schedule the interview at the end of a long 12 hour shift). Ensure that adequate notice is also given in advance of the meeting. 

Ensure that at the interview invite stage and at each interview meeting, the right to representation is explained and the process is clear about who is involved and what the process steps are.

Make sure too that there is a private space booked that will not be disturbed.  Sometimes conducting the investigation off site may be more appropriate depending on what type of work environment there is.

During the interview itself, techniques such as active listening: paraphrasing, summarising, and reflecting feelings, not only create an atmosphere of empathy and respect, but will also enable you to gather richer, more reliable accounts. This method allows you to differentiate between firsthand testimonies and hear-say, ensuring that every interview conducted upholds the values of transparency and justice.

During the meeting, allow breaks where necessary, and make sure that you are also accompanied by a witness/note taker at the meetings.

Record Keeping

Meticulous record-keeping is more than a GDPR compliance exercise; it is evidence of your commitment to the principles of transparency and accountability. Securely maintaining proper files/systems including all notes from the investigation meetings, reinforces the legitimacy of the investigation. Ensure that you have given the relevant parties the opportunity to review minutes/notes of meetings and record any requests to edit/correct same.

Summary

Conducting workplace investigations can be very challenging processes, but done well can transform into a powerful opportunity to show fairness and respect for all involved. For line managers and HR professionals, this approach creates a work culture that does more than just resolve conflicts, it upholds the dignity and trust of every employee during a very sensitive period.

Using some of the above principles will elevate your workplace investigations by embracing a more values-based approach. Contact Glenmore HR today to schedule a consultation or training session to ensure your investigation processes not only meet legislative standards but also reflect the core values of your organisation.