How to Conduct an HR Investigation in 6 Steps

An HR investigation is a systematic and impartial examination conducted by Human Resources professionals to gather facts and evidence related to workplace issues or complaints. It is essential for maintaining a fair and safe workplace environment. It can also be used to assess whether disciplinary action is needed, or if the organization is still compliant with different laws and regulations.

Failure to investigate misconduct can encourage further wrongdoing, dampen employee morale, or even lead to a lawsuit if not addressed immediately. Some situations that warrant an investigation are harassment, bullying, discrimination, safety risks, among others.

If you want to conduct a fair HR investigation, you should create a standardized process that outlines each step to take. Here’s how the process works:

1. Define the Scope and Limits of the Investigation
2. Assemble an Investigation Team
3. Document Investigation and Preserve Evidence
4. Interview Witnesses
5. Analyze Evidence
6. Communicate Results and Make Recommendations

1. Define the Scope and Limits of the Investigation

Determining and setting the boundaries of the investigation will streamline the process. It will also guide you on how to proceed in each step. Ensure that the objectives are well-documented and communicated to all relevant parties. To help establish these limitations, you need to:

• Identify Key Allegations: Gather all available information about the allegations or concerns that prompted the investigation. What are the specific complaints, incidents, or issues that need to be addressed? Make sure that your employee handbook emphasizes these—it’s also a quick way to ensure everyone knows to avoid these while creating a precedent for people to avoid it. Check out our employee handbook guide for more information on how to set it up.
• Consider Legal and Regulatory Framework: What relevant laws, regulations, and company policies may apply to the investigation? Ensure that the investigation complies with these requirements.
• Consider Potential Risks and Consequences: Assess the severity of the alleged violations and the potential impact on individuals and the organization.
• Address Confidentiality and Privacy: Make sure that you cover any confidentiality and privacy concerns, especially when handling sensitive issues. Define how information will be collected, stored, and shared while respecting privacy rights.
• Consult Legal Counsel: In complex or legally sensitive cases, it’s advisable to consult with legal counsel to ensure that the investigation’s boundaries align with legal requirements and best practices.
• Be Flexible: While defining boundaries is essential, be open to adapting them as new information emerges during the investigation. The scope may need adjustments based on what is discovered.

2. Assemble an Investigation Team

Select an investigation team consisting of impartial individuals who have the expertise and experience to handle the case. This team may include HR professionals, legal counsel, and relevant department heads. Ensure that all team members are trained on the investigation process and confidentiality requirements.

Here are a few questions to consider while choosing individuals:

• How many years of experience do they have in conducting investigations?
• How well do they know HR policies, employment law, and investigative techniques?
• What set of specific skills are they bringing to the table that would speed up the process efficiently?
• Have they shown any personal biases or conflicts of interest related to the parties involved or the issue at hand?
• Are the roles and responsibilities of each team member clearly defined?

3. Document Investigation and Preserve Evidence

Prepare a comprehensive written report summarizing the investigation, including the purpose, scope, methodology, findings, and recommendations. This report serves as an essential record of the process and can be used for reference in the future. Here are some ways to collect and preserve the information effectively:

• Take detailed and objective notes during interviews and evidence collection: Include verbatim statements from interviews when possible, documenting who said what and when. Avoid subjective language and provide a factual account of the information gathered. Accurate and unbiased documentation is critical for a fair investigation.
• Develop a standardized investigation report template: It should have key sections such as a clear statement of the complaint, the investigation’s scope, parties involved, relevant dates, a summary of findings, recommendations, and a conclusion. Using a consistent format ensures that essential information is included and easily accessible in all reports. Here’s a sample employee write-up form template we created, including some tips and strategies.
• Maintain a clear chain of custody: This is essential when physical evidence is involved. Document who collected the evidence, where and how it was stored, and who had access to it. This level of detail helps ensure that the evidence remains untainted and can be relied upon.

Additionally, consider using secure and well-organized electronic document management systems, like Dropbox, to store investigation documents. These systems can help maintain privacy, facilitate easy access for authorized personnel, and track revisions and updates to the documentation.

4. Interview Witnesses

Conduct interviews with all relevant parties, including the complainant, alleged wrongdoer, and any witnesses. Prepare open-ended, non-leading questions to gather facts objectively. Document the interviews accurately and maintain confidentiality throughout the process.

Here are 10 questions you could ask during an HR investigation and what specific situation should you use them:

1. What did you witness or experience?
   Use this question to initiate the witness’s account of the incident or behavior they observed or encountered.
2. When and where did the incident occur?
   This helps establish the context and timeline of the alleged misconduct or issue.
3. Were there any other individuals present during the incident?
   Determine if there were additional witnesses who could corroborate or provide different perspectives on the events.
4. Did you see or hear any statements or actions that you found concerning or inappropriate?
   Use this to explore the witness’s subjective perception of the events.
5. Were there any company policies or guidelines that you believe were violated during the incident?
   Assess the witness’s understanding of relevant company policies or rules.
6. Did you document any notes or emails related to the incident? If so, may we review them?
   Determine if the witness has any written records that may support their account.
7. Were you approached or contacted by anyone after the incident to discuss what you witnessed?
   Investigate whether there were any attempts to influence the witness’s account.
8. Did you feel comfortable reporting what you witnessed, and if not, what concerns or barriers did you have?
   Assess the witness’s perspective on the reporting process and whether there were any factors hindering their willingness to come forward.
9. Have you observed similar incidents or behaviors involving the same individuals in the past?
   Explore whether there is a pattern of behavior or recurrent issues that may be relevant to the investigation.
10. Is there anything else you believe is important for us to know about this matter?
    Give the witness an opportunity to provide any additional information or context they deem relevant to the investigation.

5. Analyze Evidence

Given the emotional nature and internal dynamics of workplace investigations, it’s crucial to objectively assess the credibility of statements and evidence. Investigators should look out for self-serving statements or significant delays in reporting.

When reviewing evidence, investigators must assess its strength within the broader investigation. Strong evidence is consistent, reliable, and, in the case of witness statements, appears believable, probable, and credible.

Here’s a step-by-step guide on how to analyze evidence in an HR investigation:

1. Verify Authenticity: Ensure that all evidence is authentic and not tampered with. Examine the chain of custody for physical evidence, and check for any signs of alteration or manipulation in digital materials.
2. Corroborate Information: Compare and cross-reference evidence from multiple sources to identify consistencies and inconsistencies. Corroborating evidence increases its reliability and validity.
3. Assess Reliability: Evaluate the reliability of each piece of evidence. Consider the source, context, and credibility of the evidence. Assess whether it comes from a firsthand or reliable witness.
4. Analyze Context: Examine the context in which the evidence was collected. Consider the timing, location, and relevant circumstances that may affect its interpretation.
5. Identify Patterns and Trends: Look for patterns or trends in the evidence. Identifying common themes or recurring incidents can provide valuable insights into the overall situation.
6. Consider Motivations and Biases: Analyze the motivations and potential biases of individuals involved in the evidence. Assess how these factors may influence their statements or actions.
7. Evaluate Credibility: Assess the credibility of witnesses and sources of evidence. Consider factors such as consistency, demeanor, demeanor during interviews, and any potential conflicts of interest. Also, consider the overall weight of the evidence. Determine whether it is more likely than not that a particular set of events occurred.
8. Seek Expert Opinions (if necessary): In some cases, it may be beneficial to consult subject-matter experts or professionals with expertise in a specific area relevant to the investigation. Their insights can help interpret complex technical evidence.

6. Communicate Results and Make Recommendations

Communicate the investigation results and any recommended actions to the relevant stakeholders. This may include disciplinary measures, remedial actions, or policy changes. Ensure that disciplinary actions, if necessary, are carried out in accordance with company policies and legal requirements. Additionally, follow up on any remedial measures to prevent future issues.

When to Conduct an HR Investigation

Around 25% of class action lawsuits are caused by class-based-employment claims. This is a situation that any organization does not want to face. Thus, it is imperative to conduct an HR investigation when a triggering situation arises. Some of these situations include:

• Harassment: According to a study conducted by AllVoices, 34% of employees leave their jobs because of harassment. Some of the most common forms of harassment in the workplace include verbal, sexual, and psychological harassment.
• Policy Violations: Examples of violations include unauthorized overtime or breach of confidentiality. There are usually two reasons why an employee violates a policy—he doesn’t know it, or he doesn’t agree with it. No matter what the reason is, HR should investigate to determine the extent of the violations and enforce appropriate disciplinary measures.
• Workplace Accidents or Safety Concerns: The Occupational Safety and Health Administration (OSHA) establishes and enforces workplace safety and health standards to protect workers from hazards on the job. These standards cover a wide range of industries and activities, including construction, manufacturing, agriculture, and more. Organizations that don’t comply with these regulations face huge penalties.

How Long Does an HR Investigation Take?

The timeframe of an HR investigation can vary widely depending on several factors, including the complexity of the case, the number of witnesses and evidence to review, and organizational resources.

In general, investigations can take anywhere from a few weeks to several months to complete. Simple cases may be resolved relatively quickly, while more complex ones, such as those involving multiple parties or extensive documentation, may require more time for thorough examination.

Laws and Regulations to Consider During an HR Investigation

When conducting an HR investigation, it is essential to consider and comply with various laws and regulations to ensure that the process is fair, legal, and ethical. While specific laws and regulations may vary depending on your jurisdiction and the nature of the investigation, here are some key legal considerations to watch out for:

Anti-Discrimination Laws: Federal and state anti-discrimination laws (e.g., Title VII of the Civil Rights Act, Americans with Disabilities Act, Age Discrimination in Employment Act) prohibit discrimination based on protected characteristics such as race, color, religion, sex, national origin, disability, and age. Ensure that the investigation does not discriminate against or unfairly target individuals based on these characteristics.

Privacy Laws: Respect employee privacy rights by adhering to applicable privacy laws, such as the Health Insurance Portability and Accountability Act (HIPAA) for medical information, and the Electronic Communications Privacy Act (ECPA) for electronic communications.

Labor Laws: Be aware of labor laws and regulations, including the National Labor Relations Act (NLRA), which protects employees’ rights to engage in concerted activities, such as discussing workplace conditions or grievances.

Non-Retaliation: Ensure that individuals involved in the investigation, whether complainants, witnesses, or the accused, are protected from retaliation. Whistleblowers should be protected from retaliation under laws like the Whistleblower Protection Act or the Sarbanes-Oxley Act.

Recordkeeping Requirements and Confidentiality: Maintain accurate records of the investigation process in compliance with recordkeeping requirements under various federal and state laws. Safeguard the confidentiality of the investigation to the extent possible, while still complying with any legal obligations to disclose information to relevant parties.

Due Process: Provide accused individuals with due process rights, such as the right to know the allegations against them and the opportunity to respond.

Bottom Line

Remember that conducting an HR investigation requires a fair, impartial, and confidential approach. It’s essential to adhere to legal requirements and maintain the trust of all involved parties throughout the process. Regularly review and update your investigation procedures to ensure they align with evolving best practices and legal standards.