A transparent investigation refers to a fair process that is open and well-communicated. In a transparent investigation, there is a high level of clarity and all parties understand why certain actions were taken. It is not enough to say that the company looked into an issue, they need to show what the investigation led to and how their decisions were closely linked with the outcomes. Transparency is crucial for ensuring the organisation does not face legal issues and the employees do not feel unfairly treated. But how do you ensure a transparent investigation? 

Learning from past mistakes

In 2022, a Hong Kong court found that a European company had unfairly terminated Mr Tan, an employee, who was accused of sexual harassment. The employee was accused of touching a colleague’s waist and his defence was that it was a simple nudge rather than anything ill-intended. After a complaint was filed against him, an investigation was conducted and before it was even concluded Euromoney was asking Mr Tan to apologise. Mr Tan refused and the investigation showed no evidence that any sexual harassment took place. 

However, following the conclusion of the investigation, Mr Tan was called into a meeting where he was asked to resign. Ultimately, the company had to fire him which resulted in the employee filing a case of unfair dismissal. The judge ruled that the dismissal was indeed unfair and asked the company to make an apology and pay around AUD$28,500 to Mr Tan. If Euromoney refused to give a written apology, the punishment would be greater. 

How a transparent investigation would have helped

If Euromoney had conducted a transparent investigation, they would have been clear about how their decision was linked to the outcomes of the investigation. A transparent investigation requires:

  • A fair process
  • Honesty and good communication
  • Fact-checking
  • Confidentiality
  • Documentation
  • Accountability
  • Willingness to improve

A fair process

A transparent investigation should be conducted with the interests of all parties in mind. It is important that the company does not jump to conclusions but asks for the collaboration of everyone involved. The investigators should explain every step of the process to employees and how the outcomes of every stage will affect the approach of the next one. 

Employees should understand the severity of the situation and how the complaint investigation may affect them. For example, an employee may need to be suspended. The reasons for the suspension should be logical and must be communicated with the employee to ensure that there is no confusion around the decision. 

The company needs to establish that it is not picking sides. They will only take action once the investigation has been concluded and their actions will reflect the outcomes of the investigation.

transparent investigation

Honesty and good communication

To achieve a transparent investigation, the team will need to avoid vague statements, including a poorly written investigation report. The business should be open to interviewing witnesses provided by both sides and explain the interview timelines. They should also be honest about limitations in the information they are allowed to share and should assure employees that they can ask as many questions as they want within these limitations. 

There should not be any confusion about why these limitations exist, as the investigators should be proactive in addressing concerns. Putting everything in writing is usually the best way to communicate, as staff will be able to re-read emails and written details can be reinforced through verbal communication. 

Fact-checking

The investigator is likely to receive contradicting statements throughout the investigation. From the example, while the female colleague saw the touch as sexual harassment, Mr Tran viewed it as a nudge for her to make space for him. It is clear then that people will see a situation differently, which is why the investigators should focus on evidence provided by various sources. In a transparent investigation, employees should be aware of what evidence investigators are gathering. The company should then notify employees of any information gaps or conflicting statements and ask staff to provide more evidence if possible. 

Employees should be involved during the whole investigation and not kept in the dark. If something looks bad, they should know and should be given an opportunity to explain their side. 

Confidentiality

A transparent investigation should not jeopardise confidentiality. This is why there are limits on the information provided. For example, the investigators may share that they spoke with witnesses on both sides as well as neutral individuals. They do not necessarily need to reveal the identities of the parties they questioned. Everyone has a right to maintain their privacy during the process and revealing too many details may lead to retaliation. 

In worst-case scenarios, employees may even reach out to witnesses to ask them to change their version of events before the interview. Confidentiality can prevent that from happening.

Documentation

Documentation will keep a trail of actions that the business has taken since the investigation started. For a transparent investigation, the business will need to show reasoning behind the order of activities, and why they made certain decisions. Documentation will help support their decisions and will also help them be transparent with legal counsel if the investigation turns into a legal matter. Without an adequate record of events, the business will not be able to protect itself against claims of unfair procedures. 

Accountability

During the investigation, it is critical to keep in mind that the process is carried out by humans. Even if they are experienced professionals, mistakes are bound to happen. Even if mistakes are made, the business should stay focused on working towards a transparent investigation. The company should communicate what mistakes were made and what steps were taken to remedy the problem. 

Taking accountability shows that the organisation and the investigators are taking the process seriously and are willing to admit fault. Beyond achieving a transparent investigation, there is also the need to carry out an ethical investigation. 

The same level of accountability should also be expected from employees. As investigators are held accountable for their actions, employees should be held accountable for contradictions, false statements or attempts to delay or jeopardise the investigation in any way. A transparent investigation cannot be one-sided. 

Willingness to improve

An investigation may have shown that the employee did something wrong but their actions did not breach any workplace policies. This can highlight a gap between workplace policies and staff conduct. Transparency should not stop when the investigation finishes. The company should communicate how the outcomes of the process are now shaping their corrective actions, including their review of organisation policies and their road to improvement. If training requirements change, if the responsibilities of a position are modified or if certain employees are relocated, the company should tell employees where it went wrong. 

Why you need a transparent investigation

Without a transparent investigation, there will be a lot of confusion and resistance to the final results. Especially in Euromoney’s case, the evidence showed that there was no link between the outcomes of the investigation and the termination. However, Euromoney then claimed that it was the employee’s attitude during the process that led to their decision. 

Employees are not likely to react well when they are accused of something that, from their perspective, they did not commit. This is where effective communication comes in. Communication with all parties involved can reduce the probability of retaliation and any claims of bias. A transparent investigation can protect the business against any negative publicity or legal fees associated with cases of unfair dismissal. 

Communicating with employees clearly at every step of the way should enable them to understand reasoning and see that the company is making an attempt to listen to everyone. The investigation is not leaning towards either side. Basing decisions on facts and demonstrating an impartial attitude will leave little room for questioning. 

At this point, it should be noted that a transparent investigation will not necessarily lead to an accurate outcome. While an incident may have taken place, there might not be any evidence that points to it. Regardless of whether something happened or not, the business will need to protect itself and prevent accusations from hurting the company as a whole. Over-reacting to complaints can, as shown in the Euromoney case, have as negative consequences as significant as failing to respond to a complaint. In both cases, the key to protecting your company is a transparent investigation with an outcome that is supported by the evidence. Additionally, how the investigation is carried out can have an impact on the livelihood of other employees as well who may not be involved in the case. The company has a duty of care towards those employees as well. 

Do you want to achieve a transparent investigation faster? 

Polonious is trusted to help investigators carry out a fair and efficient process. We assist with metric tracking, creating customisable dashboards, providing automatic case updates, and ensuring compliance is maintained throughout the investigation. Investigators rely on us for assistance with workload management, evidence safekeeping and resource allocation. 

We are ISO 9001 and ISO 27001 certified, putting confidentiality and security at the front of everything we do. If you want to hear more about how we help our clients achieve a transparent investigation, book a demo today.