An impartial investigation is the ideal goal when looking into workplace complaints and issues. An impartial investigation means that the investigator does not show any bias towards either party involved in the process. It ensures a fair outcome that is based on facts rather than emotions or assumptions. As investigations are usually focused on company policies or law violations, hard evidence allows the company to take appropriate action. Why is an impartial investigation hard to achieve then?
In order to come to a conclusion, an investigator might ignore information and produce outcomes based on intentional or unintentional biases. These can also be related to confirmation bias as they could form an opinion before the investigation has even started and try to confirm their opinion by neglecting crucial details of the investigation process. An impartial investigation needs to then be free of these issues.
How can an impartial investigation be achieved?
In many cases investigations can come down to ‘he said, she said’ situations. Bias can result from human error; our subconscious mind can form opinions without us realising it and we make decisions based on those opinions. Here are some steps to achieve an impartial investigation:
- Ask the right questions
- Be self-aware
- Don’t jump to conclusions
- Act based on facts
- Hire an external investigator
- Protect confidentiality
- Avoid judgemental communication
- Keep an open mind and check how employees are feeling
- Attend frequent training sessions
Ask the right questions
To achieve an impartial investigation, it’s important to ask questions that are not leading or assumptive. Initial questions should focus on letting the interviewee speak rather than trying to confirm something. For example, questions such as ‘You stayed late that night, didn’t you?’ should be avoided. In this instance, the investigator is forming an opinion without the person divulging any information on their own accord. Adjectives with negative connotations should also be avoided as you want the interviewee to be comfortable divulging information. Vagueness should also be avoided – what one person considers ‘late’ might not reflect what another person thinks.
So, in the above scenario you may start with something like ‘we’re trying to establish a timeline regarding [event] – can you please tell us in your recollection what happened that night?’. Then, after the interviewee gives their account you may clarify with questions such as ‘you said you stayed late – could you clarify for us what time that was?’.
Then, after interviewing other persons of interest, if they give a different account, you may then introduce confirming questions such as ‘you have told us that you left at 10pm, however other accounts have you leaving at midnight – could you confirm for us what time you left?’. Note that there is still no accusation or assumption regarding the cause of the inconsistency between the accounts – we are simply establishing facts.
The questions that should be asked during an impartial investigation should be used to establish credibility and double-check other pieces of evidence. They should be open-ended, and the investigator should show in their body language that they aren’t accusatory in any way. They are there to listen and draw a conclusion based on the details that they have been given.
Don’t jump to conclusions
Another bias that could surface during an investigation is past experience bias. This usually means that if the employee has done something similar in the past, the employer or investigator assumes that they have done something unethical again. However, this isn’t always the case. To stay objective, the investigator needs to look at the facts of this specific case rather than past cases as this will prevent unnecessary assumptions based on past behaviour that may have been corrected. Once guilty doesn’t equal always guilty.
Be self-aware
When conducting an investigation, it’s necessary to always check the thoughts and decisions that we make and question why we are making those decisions in the first place. What is it based on? What am I hoping to achieve? This enables the investigator to stay on track and prevent any rash actions that could harm rapport building with the individuals. Staying self-aware during the investigation process allows for more effective decision-making. Even if someone is rude or abrupt, it’s advisable to keep in mind the investigation is a stressful situation to be in and their behaviour could be the result of that.
This is why empathy is crucial: Empathy towards all parties helps them stay in a better mental health state and enables better collaboration as everyone feels heard.
Act based on facts
After an impartial investigation is concluded, it’s important to take the findings seriously and act based on the evidence that was gathered and reviewed. Staying objective post-investigation ensures that the process remains effective even after it has been finalised.
A case in 2022 shows a clear example of how employers may choose to ignore the findings of an investigation and act based on their bias. While the investigation didn’t find any clear evidence that an incident took place, they went ahead and gave the employee an ultimatum. This cost the company a lot as they not only lost an employee but also had to deal with a legal case, and a lot of resources were unnecessarily allocated to an issue that could have been prevented.
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Hire an external investigator
If the parties involved in the investigation are employees in a position of power, then it might be worth hiring an external investigator. The external investigator doesn’t have pre-existing relationships with anyone.. They are paid to carry out the process in an efficient and fair manner. An internal investigator, such as a HR team, may be perceived to have a conflict of interest which can jeopardise the impartiality of the investigation.
While hiring an external investigator can take longer, it’s worth it, as it will show employees the company is committed to a just result.
Protect confidentiality
Confidentiality in any investigation is critical. Preventing leaks is very important in ensuring an impartial investigation, as the information doesn’t influence third-party opinions. If details about the incident get out to external parties, then rumours may spread. Those rumours can affect witness statements and how people view the incident that occurred.
Depending on the perspective they are getting, employees may misremember what happened with information they got through other means rather than what they experienced themselves. This can lead to an inaccurate outcome. Protecting confidentiality also helps employees be more open and less likely to close up or feel defeated. In turn, they will be more likely to cooperate and less likely to exhibit behaviours that can influence an investigator’s opinions.
Avoid judgemental communication
During the investigation, all parties should get the appropriate amount of information. The investigators shouldn’t be giving one party more information than the other or sharing details that aren’t relevant to them. Being transparent and communicating in a non-judgemental way can affect the environment in which the investigation is taking place. When getting the de-brief from the company or when holding team meetings, investigators should speak up if individuals are painting the parties involved in a certain way.
Suppose they are using adjectives or giving unnecessary information, such as ‘this employee is always tardy’ or ‘she always dresses provocatively’. In that case, investigators should put a stop to these phrases immediately and ask for evidence relevant to the case. As an employer, it’s necessary to be aware of the language used during the briefing sessions with the investigator team.
Keep an open mind and check how employees are feeling
While employers and investigators might be trying to conduct an impartial investigation, it might not always work out that way. Investigators will need to check how employees are feeling and whether they’re truly treating them with the respect they deserve. It can be hard to stay objective towards everyone, including the person who is being accused. A quick check with the employees and some needed self-reflection can give the investigators quite a few insights into how they’re handling the case so far and if they’re being sensitive to everyone’s emotions. While it won’t be easy to please everyone, establishing a strong and supportive environment is key.
Attend frequent training sessions
Sometimes, training sessions can be a good reminder that unconscious bias can be hard to get rid of. Investigators are humans too, and there will always be some type of unwanted opinions that slip through the mind. Attending training sessions can act as a reset button, encouraging investigators to accept those opinions, work on them and move on rather than focus on past mistakes. Training can help investigators handle past and future mistakes and help them see that an impartial investigation, while ideal, can have some flaws along the process.
Impartiality isn’t achieved overnight and it can take years for individuals to learn to let go of strong biases they grew up with or biases that society is trying to still enforce.
Why should you try to achieve an impartial investigation?
Not looking at objective data can lead to a lot of legal trouble for companies and resentment from employees. A biased investigation can lead to unfavourable outcomes, meaning that someone who is innocent may still be punished for misconduct. It takes away the opportunity for all parties to defend themselves equally. It also shows that the company didn’t follow the policies and procedures properly.
Ethical behaviour starts from the top. Hence, leadership should show employees what the expectations are when it comes to acting ethically in the workplace.
Are you looking to conduct an investigation?
Polonious is an investigation management workflow tool, which means we build simple to follow, transparent processes for your investigations to ensure they are fair, best practice, and standardised. We are ISO 9001 and ISO 27001 certified, which means that not only do we deliver a high-quality case management system, but we also take security and confidentiality very seriously. Through our system, we help hundreds of investigators finish cases faster but obtain accurate results. We help them create efficient workflows and take away the headache of manual tasks.
If you want to conduct an effective investigation, reach out! We would be happy to share with you how companies have been using our system to take their investigations to the next level.
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Eleftheria Papadopoulou
Eleftheria has completed a Bachelor's of Business with a major in Marketing at the University of Technology Sydney. As part of her undergraduate studies she also obtained a Diploma in Languages with a major in Japanese. Following her graduation she has been working as a Marketing Coordinator and Content and Social Media Specialist.
Eleftheria is currently finishing her Master in Digital Marketing.