How to read a workplace investigation report

If you have engaged an external investigator to investigate suspected misconduct by an employee, at some point you will have to read the report and possibly make a decision based on its findings. There are some key points that you should look out for. Their presence or absence, or how they have been addressed, may determine the validity of the report.

The terms of reference

 Generally an investigator only has authority to investigate the matters which the employer has asked him or her to investigate. These are the terms of reference. If the investigator goes outside the terms of reference, the related investigation findings could be challenged. The terms can be amended if necessary to expand the scope of the investigation.

The allegations

At the beginning of the investigation the allegations may be vague. As more information becomes available they may become clearer. Some may be dropped because they are just improbable or too minor to pursue. Others may be added as new matters come to light. Check that the allegations are not vague or ambiguous, and have sufficient detail to be understood.

Procedural Fairness

As the decision maker, you will want to know that the process followed was fair.Things to look for include whether the employee was given notice of the allegations; whether they were allowed to have a support person at their interview; whether their version of events was properly and impartially considered.

Findings

Part of the investigator's job is to determine whether the allegations are proven. In workplace investigations this is determined by applying what is known as "the civil standard of proof". This involves deciding if it is more probable than not that the alleged conduct occurred. It is sometimes said that the investigator must be "reasonably satisfied" of the facts.  You may also see a reference to the "Briginshaw standard". In brief, this means that where the conduct is serious, the investigator will only be "reasonably satisfied" where there is  direct, relevant and reliable evidence on which to base that finding. Where there are conflicting versions, the investigator should give reasons for preferring one set of evidence over another.

Systemic issues

Sometimes the investigator will find that the situation which led to the investigation was not solely down to  individual conduct. She may find that there were "systemic factors". These are issues which have emerged within the system that the employee works in. All workplaces are systems of one kind or another. Systemic factors can include communication styles, workplace procedures, leadership or the lack of it, and other attributes of workplace culture. Where systemic causes exist, the problem may continue or recur unless you take steps to address them through change management, training, leadership initiatives, restructures, coaching or other approaches.

The investigator may make recommendations for action. Regardless, the decision is yours to make. That's why it's important to know how to read a workplace investigation report.