Signal investigation or person-focused investigation
In some cases, your organisation may be advised, or may internally feel the need or necessity, to conduct a signal-based and/or person-focused investigation. In this guidance document, we discuss the key questions to ask when considering initiating an investigation.
Orientation phase
When one or more signals are received within your organisation indicating possible inappropriate or transgressive behaviour, it is necessary to address these signals. The question is how. Sometimes an investigation is the appropriate means, sometimes it is not.
To determine whether an investigation is the right approach and which type of investigation is suitable, it is important to start with an orientation phase. Read more about this in the guidance document Assessing a signal or report. First, try to gain more clarity about the signals. This can be done by speaking with the person who raised the signal and possibly afterwards speaking with the person about whom the signal was made. If you conduct such a conversation as a manager, make sure to listen empathetically while maintaining neutrality and avoiding raising expectations about the outcome.
When more clarity exists about the possible seriousness and/or scope, and it does not appear possible to resolve the situation in another way, an investigation may be the solution. Before considering an investigation, it is important to know whether conversations or interventions have already taken place to improve the situation and what effect they had. This may include conversations led by a manager, coaching, facilitation, mediation and/or team intervention.
Note! In the case of certain serious signals, it is not always appropriate to suggest that the person who raised the signal should speak with the person whose behaviour is being questioned. Take into account the wishes of the person who raised the signal, but also be clear that the organisation takes the matter seriously and that it is important to clarify what happened. As a manager or supervisor, you are responsible for ensuring a safe working environment for everyone, and you therefore cannot promise that no action will be taken with the information provided. If someone wishes to share their story confidentially (initially), they can contact a confidential advisor.
Internal or external investigation
Some organisations have the expertise to conduct internal investigations into transgressive behaviour. However, this knowledge or capacity is often not available internally. In such cases, it is advisable to commission an external investigation. External investigation may also be advisable or necessary if the signals concern senior management or board members, or if too many people within the organisation are already involved in the matter.
Aim of the investigation
External investigations aimed at further clarifying signals can take the form of:
- Signal investigation
- Person-focused investigation
When signals are not (yet) directed at the actions or omissions of specific individuals, it may be appropriate to conduct a signal investigation. The purpose is then to gain more clarity about the nature and scope of the transgressive behaviour. A signal investigation can serve as a preliminary stage to a person-focused investigation, depending on the outcomes.
When there are multiple concrete signals directed at a specific individual or individuals, a person-focused investigation may be necessary. The purpose is then to establish clarity about the actions or omissions of that person or persons.
The difference between a signal study and a person-centered study
In a signal investigation, there are signals of possible transgressive behaviour, but these are not (yet) specifically directed at one or more individuals. In a signal investigation, the first step is to further clarify the signals, and there is no principle of hearing both sides during the investigation phase. The outcomes of a signal investigation may lead to follow-up actions, such as a person-focused investigation. A signal investigation alone cannot serve as the basis for employment law consequences (such as dismissal) aimed at an individual. A signal investigation is often less concrete and does not meet the safeguards associated with hearing both sides. A person-focused investigation is a more concrete investigation, with various safeguards for the person being investigated.
Person-focused investigation
Depending on the nature, scope, seriousness, power dynamics, and possible risks of the transgressive behaviour, a person-focused investigation may be considered. In making this decision, it is important to take into account the wishes of those reporting, although the organisation’s interests take precedence. The purpose of a person-focused investigation is to establish the truth, which means that those reporting must be willing to come forward with their story. If all reporters wish to remain anonymous, a person-focused investigation is generally not possible, as the accused would not be able to defend themselves. The outcome of an investigation may sometimes provide clarity, but not always. Additionally, the outcome may differ from the reporter’s experience or feelings, in which case aftercare is still required.
Requirements for person-centered research
An investigation must be necessary and comply with the principles of proportionality and subsidiarity. Conducting a person-focused investigation through an external agency requires a permit, so always verify that the agency holds such a permit. Naturally, an organisation must follow existing protocols when conducting an investigation, and an external agency must have an investigation protocol that safeguards both reporters and the person being investigated.
Commissioning an investigation
If your organisation commissions an investigation, it is important that it is conducted by investigators who are authorised and qualified to do so. When making your selection, consider the following questions:
- Does the investigator have the appropriate experience? An agency experienced in integrity issues such as fraud is not necessarily experienced in investigating transgressive behaviour.
- In the case of a person-focused investigation, does the agency hold the required permit?
- Do the investigators working at the agency have relevant training and hold the so-called “yellow card” certification?
- Do you receive critical questions about the reason, necessity, and purpose of your investigation request?
- Is the scope of the investigation clearly defined?
- What is the investigation protocol? Are the rights of all involved safeguarded?
- What responsibilities remain with the organisation and what responsibilities are assigned to the investigation agency (for example, regarding information provision)?
- What agreements exist with the agency about communication regarding the investigation? It is important to prevent confusion among those involved, including individuals being interviewed and others within the organisation. Ideally, internal communication about an investigation takes place in coordination with the agency. Also make agreements in advance about possible external communication, for example in response to media enquiries.
- What are the expectations regarding the duration and costs of the investigation?
More information and contact
Professor of Integrity Rob van Eijbergen shared valuable tips about investigations for directors and supervisors during the Mores event From Signal to Recovery in 2024. The video can be watched here (in Dutch).
If your organisation would like to discuss the deployment of a signal or person-focused investigation or obtain information about the process, you can contact a specialised Mores advisor via advies@mores.nl.