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Ensuring effective investigations into whistleblowing reports
For companies and organisations that have a whistleblowing policy it’s important the process is trusted and that employees feel safe and supported in reporting misconduct in the workplace.
There needs to be a genuine culture where employees feel able to report wrongdoing and potentially challenge authority. If there is a culture of transparency and a leadership endorsing ethical behaviour this will lend credibility to any whistleblowing policy.
The challenge for organisations is ensuring their whistleblowing system is as effective as possible. The practical characteristics of an effective system can be summed up as having:
- Anonymity
- Accessibility
- Ease of use
- Multilingual supportM
- Accessibility across devices and platforms to accommodate a diverse workforce.
Whistleblowing reports / complaints can be a company's lifeline to identifying and correcting serious issues, but they must be managed with the utmost care and integrity.
As someone who has been on the front lines of these investigations, I've learned that the process can be intricate and fraught with challenges.
Here's a step-by-step guide on how to effectively investigate a whistleblowing report, emphasising the dos and don'ts that can make or break the process.
Step 1: Acknowledge and assess the report
Do: Act promptly and confidentially. When a whistleblowing report lands on your desk, it's crucial to acknowledge it immediately. Confirm receipt of the complaint to the whistleblower and reassure them that their concerns are being taken seriously. Once any report is received it’s important to triage the complaint to determine if it falls under whistleblowing protections and if it's within your scope to investigate.
Don’t: Ignore or delay. One of the biggest mistakes is ignoring or delaying action on the complaint. Delays can not only exacerbate the problem but also discourage the whistleblower and others from coming forward in the future. Additionally, ignoring a complaint can lead to severe legal and reputational consequences for the organisation. An effective triage process is based on consistency and having skilled people to assess the report.
Free video: Receiving and encouraging whistleblowing or speak up reports (6 minute viewing time)
Step 2: The investigation team
Do: Choose an impartial team. Select a team of impartial, experienced professionals to conduct the investigation. Ideally, this team should include members from legal, human resources, and experienced external consultants, depending on the complexity and sensitivity of the issue. It’s important to ensure that team members have no conflicts of interest related to the complaint.
Many organisations we’ve dealt with don’t have an internal investigation team – which is usually an issue of resources and capabilities. External, third-party investigators can reassure employees of expertise and independence, further building trust and credibility in the process. Perception can be everything.
Don’t: Involve potentially biased parties. Involving individuals who may have a stake in the outcome can compromise the investigation’s integrity. Avoid appointing anyone who is mentioned in the complaint or who might have a personal or professional relationship with the subjects involved.
Free video: Handling an incident report: triage and assessment (9 minute viewing time)
Free download: Investigation Decision-making Checklist
Step 3: Plan the investigation and best approach
Do: Develop a clear plan. Outline a clear, step-by-step investigation plan. This should include identifying key issues, defining the scope, setting timelines, and determining the methods for collecting evidence. Scoping is important from the outset, helping ensure there is no mission-creep. A well-structured plan helps keep the investigation focused and efficient.
The nuances surrounding the nature of the concern/complaint can heavily influence the approach taken. For sensitive issues, an external investigator can improve levels of trust in the process.
Don’t: Rush the process. While it’s important to act promptly, rushing through the investigation can lead to oversights and errors. Take the necessary time to gather and review all relevant information thoroughly. Avoid interviewing too many people as this can lead to delays and confusion. You must be proportionate in your approach.
Free video: Taking action: finding the best approach to investigating reports (9 minute viewing time)
Step 4: Conducting an effective investigation – gathering evidence
Do: Collect and document thoroughly. Gather all relevant documents, emails, and other forms of evidence meticulously. It’s important to have a laser-like focus on fact-finding and follow all reasonable lines of inquiry.
Interview witnesses and subjects in a manner that ensures their confidentiality and encourages honest disclosure. Document every step of the process, including how and where evidence was obtained. Protect against retaliation throughout the investigation process. It’s important to have a robust, recorded investigation that is defensible should matters be challenged further down the line.
Don’t: Compromise confidentiality. Maintaining confidentiality is critical. Avoid discussing the case with individuals who are not part of the investigation team. Leaking information can jeopardise the investigation and harm the reputations of those involved.
Free video: Conducting an effective workplace investigation (10 minute viewing time)
Step 5: Analysing findings and decision making
Do: Analyse objectively. Review the collected evidence impartially. Cross-check facts and seek corroborative evidence to substantiate the claims. Objective analysis is key to determining the validity of the whistleblower's allegations.
Don’t: Jump to conclusions. Avoid making premature judgments based on incomplete evidence. Let the facts guide your conclusions, not assumptions or external pressures.
Free video: Investigation reports: decision making and resolution (7 minute viewing time)
Step 6: Report, recommend and implement
Do: Provide a clear report and implement recommendations. Prepare a comprehensive report detailing the investigation process, findings, conclusions, and any recommended actions. Ensure that the report is clear, factual, and free of bias. Determine appropriate disciplinary actions or corrective measures. Present the findings to the appropriate decision-makers within the organisation.
Act on the investigation’s recommendations promptly. This may include disciplinary actions, policy changes, or additional training. Ensure that the whistleblower is informed of the investigation’s outcome and any steps taken, within the limits of confidentiality.
Don’t: Conceal findings or retaliate against the whistleblower. Do not withhold any findings, even if they are unfavourable to the organisation. Transparency is crucial to maintaining trust and integrity.
Retaliation against whistleblowers is illegal and unethical. Ensure that the whistleblower is protected from any form of retaliation and monitor the situation to ensure compliance.
Post investigation follow-up and summary
Just because an investigation has concluded and a course of action has been decided upon, it doesn’t mean the work stops. Agreed actions must be implemented, and the success if decisions made must be monitored. Often the real value post-investigation is ‘lessons learned’ and the subsequent corrective changes to mitigate against any repeated behaviour.
Many organisations see the importance of publishing a summary outcome of the investigation. Such feedback and communication to employees further improves trust in the whistleblowing process.
Handling whistleblowing complaints effectively requires a blend of prompt action, thorough investigation, and unwavering commitment to fairness and confidentiality. By following these guidelines, organisations can not only address specific issues but also foster a culture of transparency and trust. Remember, how you manage a whistleblowing complaint reflects your organization's integrity and commitment to ethical practices.
Free video: Post Investigation follow up (6 minute viewing time)
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