By Kerry Ann Marcotte EMA, JD, BCL, BA, CWPI
Workplace Investigations: Their Role, Function and Impact
A workplace investigation is an essential process that is undertaken to highlight and reinforce an employer’s responsibility to maintain a safe and harassment-free work environment. Investigations that are conducted by external investigators offer an increased sense of legitimacy and neutrality by ensuring that investigators engage without bias or preconceived notions or relationships with the parties or the organization. External investigations can also address power imbalances within the workplace which internal investigations may overlook, given the possible discomfort or a fear of retaliation when conflict arises between managers and employees.
But how do they work? Using an organization’s harassment and safety policies and -or applicable provincial or federal legislation, external investigators mandated to conduct workplace investigations follow a sequential investigation process. This usually involves a discovery phase, in which statements and evidence related to the investigation are collected and documented, a report-writing phase; in which a summary of the evidence and a preliminary analysis is provided to the parties for their review and approval, and a final investigation report, in which final analyses, conclusions and clearly crafted recommendations are shared with the employer and applicable parties to mitigate the risk of further occurrences of harassment or misconduct.
An investigator’s approach must always be guided and framed by the principles of procedural fairness, which include transparency, timeliness, and thoroughness to respect the integrity of the investigation and to be consistent with the applicable regulations, policies, codes of conduct or legislation.
A Human-First Approach at NewLeaf
NewLeaf Investigation+ offers workplace investigation, mediation and fact-finding services for private and public sector employers while aligning with a human-centred approach in which dignity and compassion are the central tenants of each process.
While the sequential nature of investigations described above seems self-explanatory; empathy and compassion must not be overlooked. Even in the context of workplace conflict resolution processes, investigators should let biases and assumptions fall to the wayside and always meet participants where they are.
The Platinum Rule & A Trauma-Informed Approach
Highly popularized by Dr. Tony Alessandra in 1998[1], the term The Platinum Rule suggests a modern re-framing of the Golden Rule and instead suggests that one should, “treat others the way they want to be treated”, rather than treating others as you would want to be treated[2].
Workplace investigators who engage in a Platinum Practice offer trauma-informed investigations, which is central to the human-centred approach. Given the sensitive nature of workplace investigations, it is crucial to ensure that the process is conducted with respect and empathy towards participants to avoid possible re-traumatization by overlooking individuals’ needs and concerns. What can this look like in practice?
- Offering participants control through flexible interview arrangements based on their needs.
- Exercising empathy using neutral language.
- Formulating open-ended questions which are not suggestive.
- Minimizing unplanned interruptions while also encouraging breaks during the interview process.
- Normalizing the option of being accompanied by a support person throughout the interview process.
Human-Centred Workplace Investigations: Accessible to ALL Organizations
Misconceptions and discomfort surrounding the topic of conflict resolution processes should not stand in the way of your organization’s health, well-being, and safety. A trusted human-centred approach is not only possible but accessible for public and private organizations alike.
The NewLeaf Investigation+ team of investigators is composed of skilled & certified workplace investigators, jurists, and mediators who provide bespoke and turnkey services to help organizations address and mitigate the risks of harassment, violence and workplace misconduct.
NewLeaf Investigation+’s focus on finding sustainable solutions never comes at the expense of participants’ well-being or integrity. As professional neutral external investigators, our team is committed to fostering respect and dignity when engaging with all participants within the context of conflict resolution processes. We firmly believe that those who report incidents of misconduct, harassment, violence or discrimination should be offered the same unconditional positive regard throughout the investigation process as those who have been accused of such conduct.
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[1] “The Platinum Rule: Discover the Four Basic Business Personalities and How They Can Lead you to Success”, Alessandra, T, (1998).
[2] “How the Platinum Rule Trumps the Golden Rule Every Time “, Economy, P, (2016) retrieved at : https://web.archive.org/web/20240410083706/https://www.inc.com/peter-economy/how-the-platinum-rule-trumps-the-golden-rule-every-time.html
