First, Do No Harm: The Hidden Mental Health Cost of Ethics & Compliance Investigations

The choices made in workplace investigations have ramifications beyond discovering facts related to an issue on the job. When done correctly, an investigation can be a sign of a healthy workplace where conflict is resolved productively and working conditions are improved in a protective and thoughtful way. However, investigations can affect the mental health and well-being of all participants. Prioritizing mental health during the process is critical to positive and productive outcomes.

Mental health is often a forgotten or minimized topic in investigations simply because it is difficult to measure and see on a KPI dashboard. But participating in a workplace investigation even when you aren’t the reporter or subject can be stressful and anxiety-inducing. It may be the worst day of a career. Employees who experience negative mental health at work will often be unhappy, unfocused and lose sleep and may experience more stress and further health risks. An employer who neglects their employees’ mental health may cultivate an unhealthy environment and lose good employees.

Investigations are typically launched following a hotline report or a reporting of an issue to a human resource function. These reports can include harassment, discrimination, bullying, theft, fraud or other issues involving conflict. When there is a report, a concrete, formal investigation is performed in order to address these issues seriously, fairly and reach a productive outcome, which could include substantiation of the claim and remediation or finding that a concern has not been substantiated.

Even when conducted professionally and thoughtfully, investigations can have adverse collateral effects. While compliance and ethics professionals are always focused on avoiding retaliation, there are also non-retaliatory effects that can take place. For example, an employee’s mental health may deteriorate upon participating in an investigation through no fault of the employer or the interviewing team. Investigations are typically a stressful time no matter what the allegation is. Part of the reason for this is that there is a third party speaking with participants. Interviewees may feel nervous, judged or at risk for further conflict, all of which can produce negative mental health effects. Hence, it is important to prioritize participant mental health when heading an investigation.

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Cultivating well-being throughout the investigation process

Support participants

Since any investigation can feel invasive and demanding, all participants should be supported in a multipronged manner throughout the entire process. Some participants may obscure their feelings of worry or anxiety to avoid “looking guilty” or appearing uncooperative. 

Ways in which participants can be supported include:

• Letting all participants be heard and believed.
• Engaging a third party to support the investigation process so that the investigators aren’t part of the workforce that the interviewees need to interact with daily after the investigation terminates.
• Acknowledging from the beginning of the interaction that the process can feel foreign and uncomfortable by naming some of the common emotions or identifying that the process is an unwelcome addition to their day.
• Delegating a neutral, unbiased figure to check in on participants and answer any questions.
• Reminding participants about available employee assistance support if applicable.

It’s important to support employees both while an investigation is pending and after an investigation is complete, since investigations can have a lasting impact on workplace culture and the mental health of those involved.

Be clear and forthcoming about the process and what to expect along the way

Transparency and a measure of confidentiality can make or break an investigation. It is often helpful to identify that while confidentiality cannot be promised, care will be taken with the data and names used only when absolutely necessary. A transparent approach will encourage all participants to share facts without fear and contribute toward a positive outcome, while an investigation that lacks transparency breeds mistrust and confusion. It’s also important to be forthcoming on potential timing and give updates as needed.

Transparency during an investigation looks like:

• Having an investigation process that is clearly defined and followed thoroughly.
• Identifying what can and cannot be shared.
• Being clear on the expectations you have that participants in the process will not discuss the interview and that privacy and confidentiality is important to the integrity of the investigation.
• Setting expectations about what will happen and what will be communicated at the end of the investigation.
• Giving each participant a way to connect with someone to share additional information or concerns about retaliation.

Be thorough, but efficient and avoid delays

Every day that an investigation continues can seem like an eternity to participants. An investigation that drags on can be detrimental to someone’s comfort or mental health. A timeframe should be established, and if it is not possible to remain on track with that timeframe, participants should be given an explanation as to why. In order to prevent harm caused by delays, participants should be given periodic updates to identify that the matter is still proceeding or has ended.

Investigations may result in someone taking time off or being temporarily suspended, so consider how your time frame affects these outcomes as well.

Find ways to engage respectfully and with well-being in mind for all participants

Particularly in high-stakes investigations, the demeanor of investigators needs to appear open and unbiased. If a participant feels they are being vilified, judged or not believed, their mental health may suffer. This will also prevent the investigation from going smoothly, because the participant won’t feel like they can communicate without being defensive. 

On the other hand, if participants are given the opportunity to speak without interruptions or judgement, they will likely give more complete, meaningful contributions to the investigation. This is another reason why it can be extremely helpful to engage third parties who have no allegiances or allies within an organization as it does lend an extra level of comfort and trust in the process to participants. Participants are often more likely to be candid with an outsider when there is an issue internally that is being addressed through the inquiry.

Repair confidence and trust at the end of every inquiry

Closing out an investigation is one of the most important elements to having a positive and productive outcome for the workplace. It can make a world of difference in driving toward a culture of repair and constructive change. 

How an investigation ends is an indicator of corporate culture. There should be a clear ending that is communicated to every individual who participated in the process and an expression of gratitude for their participation. It is also important that investigations do not simply lead to punishment but rather that they are learning and improvement experiences whereby clear guidance on how to move forward in a positive way is also provided.

Employees often feel awkward at work during and after an investigation. Feeling unwelcome or suspicious of others in your workplace, regardless of reason, does not breed positive mental health.