How to Conduct a Workplace Investigation

Eddy Team — August 8, 2024

What do you do when you receive a complaint from an employee who claims they have been harassed by a colleague? It’s a tricky situation. The tension in the office can be palpable, and everyone is looking to you, the HR leader, to address the situation swiftly and fairly. How do you conduct an investigation in the workplace while ensuring justice and maintaining trust within your organization?

Workplace investigations are a critical component of maintaining a fair, safe, and compliant work environment. They are essential for resolving disputes, addressing allegations of misconduct, and ensuring that company policies are upheld. Whether it's a case of harassment, discrimination, theft, or any other form of workplace misconduct, a well-conducted investigation helps to uncover the truth, provide justice, and maintain organizational integrity. For HR leaders, understanding how to effectively conduct these investigations is key to fostering a culture of accountability and trust within the organization.

The goal of this article is to provide HR professionals with a comprehensive guide on how to conduct thorough and impartial workplace investigations. From preparation and planning to evidence collection and reporting, each step of the process will be detailed to ensure that you are equipped with the necessary tools and knowledge to handle investigations efficiently and ethically.

Establish a Workplace Investigation Process

Your workplace investigation process has to be efficient, unbiased, and compliant with legal standards. To do this you’ll want a step-by-step process that is repeatable and well-documented.

A good process helps prevent minor disputes from escalating into more serious problems later. It helps ensure that all complaints are handled consistently, impartially, and in accordance with legal standards, which works to protect the rights of all parties involved. An established process also enhances trust in the organization's commitment to justice and accountability, encouraging employees to report issues without fear of bias or retaliation.

In addition, an established process protects the HR team. It helps you demonstrate that you have acted fairly and impartially, safeguarding your professional integrity and credibility. It helps you efficiently manage investigations, reducing the potential for personal liability and ensuring that you can confidently navigate complex and sensitive situations.

Below we outline a sample process you can adopt for your company.

Step 1: Receive and Assess the Complaint

The first step in any workplace investigation is to receive and assess the complaint. This involves carefully listening to the employee who has come forward and ensuring that their concerns are documented accurately and promptly. The complaint can be received either verbally or in writing, but it is essential to create a formal written record of the initial report.

Approach this step with sensitivity, acknowledging the employee's concerns and assuring them that the matter will be taken seriously. Immediate documentation of the complaint details, including the nature of the allegations, the parties involved, the date and time of the incident(s), and any initial evidence provided, is crucial for maintaining an accurate record.

After receiving the complaint, a preliminary assessment is conducted to determine the nature and severity of the allegations. This assessment helps to evaluate any immediate risks or actions that need to be taken, such as separating the parties involved to prevent further issues or ensuring the safety of the complainant.

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Assess Possible Legal Implications

During this assessment, consider the potential impact on the workplace and any legal or policy implications. This step may also involve consulting with legal advisors to understand the potential ramifications, which depending on the complaint could include things such as:

Violation of Employment Laws: Failure to address complaints of discrimination, harassment, or retaliation could result in violations of federal and state employment laws such as Title VII of the Civil Rights Act, the Americans with Disabilities Act (ADA), and the Age Discrimination in Employment Act (ADEA).
Hostile Work Environment: Inadequate responses to complaints of harassment or discrimination can contribute to a hostile work environment. If the company fails to take appropriate corrective action, it could be held liable for allowing such an environment to persist.
Breach of Contract: Not adhering to company policies and procedures outlined in employment contracts or employee handbooks during an investigation could lead to claims of breach of contract.
Defamation Claims: If the investigation process or outcomes are mishandled, the accused individual could claim defamation if they believe false statements about them have damaged their reputation.
Retaliation: Employees who file complaints or participate in investigations are protected against retaliation. Any adverse action against these employees could result in legal claims under laws like the Equal Employment Opportunity Commission (EEOC) guidelines.
Invasion of Privacy: Mishandling sensitive information or failing to maintain confidentiality during the investigation could lead to legal claims for invasion of privacy or breaches of data protection regulations.

Step 2: Plan the Investigation

Planning the workplace investigation is a critical step that sets the foundation for a thorough, efficient, and fair process. The second task in this phase is to define the scope of the investigation clearly.

Define the Scope

Defining the scope starts with outlining the specific issues and allegations that need to be addressed, as well as identifying the relevant company policies, procedures, and legal regulations that apply to the case. A well-defined scope helps to maintain focus and ensures that all relevant aspects of the complaint are thoroughly examined. It also helps in setting realistic goals and expectations for the investigation, preventing it from becoming overly broad or misdirected.

Select an Investigator

Selecting the right investigator is another pivotal aspect of planning. The investigator must be impartial, experienced, and capable of handling sensitive matters with discretion. In some cases, an internal investigator might be appropriate, especially if they have a good understanding of the company's culture and policies.

In situations where bias or conflict of interest is a concern, hiring an external investigator can be beneficial. This external perspective can lend additional credibility to the investigation. Regardless of the choice, the investigator should be briefed on the case details, the importance of maintaining confidentiality, and the need for a neutral stance throughout the process.

Establish Confidentiality

Establishing confidentiality protocols is also a crucial part of planning an investigation. Protecting the privacy of all parties involved not only ensures compliance with legal standards but also helps to maintain trust in the investigation process.

Confidentiality in the process requires:

Setting up secure methods for storing and sharing information,
Restricting access to investigation materials,
Communicating the importance of confidentiality to everyone involved.

Establish a Timeline

Creating a clear timeline for the investigation is essential. This timeline should include key milestones and deadlines, helping to keep the process on track and ensuring that the investigation is completed in a timely manner. A well-planned investigation is more likely to be thorough, impartial, and legally compliant, ultimately leading to a fair resolution of the issues at hand.

Step 3: Prepare for Interviews

Proper preparation for interviews not only ensures that the investigator can conduct thorough and effective interviews but also contributes to a more structured and credible investigation process.

Identify Witnesses

The first part of interview preparation involves identifying all relevant witnesses. This includes not only the complainant and the accused but also any individuals who might have witnessed the incidents or have pertinent information about the case.

Create a comprehensive list of interviewees to ensure that the investigation covers all possible angles and gathers as much relevant information as possible. It's also essential to prioritize the order of interviews, typically starting with the complainant to understand their perspective fully, followed by witnesses, and finally, the accused.

Develop Questions

Develop a set of tailored questions for each interviewee. These questions should be open-ended to encourage detailed responses and designed to elicit specific information related to the allegations. For the complainant, questions should focus on the details of the incident(s), the context, and any evidence they might have.

For witnesses, questions should aim to uncover what they saw or heard and their relationship to the parties involved. When interviewing the accused, the questions should allow them to respond to the allegations and provide their side of the story. It's also helpful to prepare follow-up questions based on the initial responses to probe deeper into specific points.

Gather Documentation

Gathering and organizing relevant documentation before the interviews is equally important. This includes any previous complaints, emails, messages, company policies, and other materials that might provide context or evidence related to the case. Having these documents on hand during interviews allows the investigator to reference specific items and ask more informed questions. It also helps in verifying the accuracy of the information provided by the interviewees.

Step 4: Conduct Interviews

Conducting interviews is a pivotal step in the workplace investigation process, where much of the essential information is gathered directly from the individuals involved. Throughout all interviews, maintain a professional and respectful demeanor to ensure a fair and unbiased process.

Interview the Complainant

The first interview is typically with the complainant, who should be given a safe and private environment to share their account of the incident(s). The interviewer should begin by explaining the purpose of the investigation, the process, and the importance of confidentiality. Open-ended questions should be used to encourage detailed responses, allowing the complainant to describe the events in their own words. It's crucial to listen actively, take detailed notes, and ask follow-up questions to clarify any ambiguities and gather comprehensive information.

Interview Witnesses

Next, interviews with witnesses are conducted to corroborate the complainant's account and gather additional perspectives. Witnesses should also be assured of confidentiality to encourage honest and open communication. The interviewer should focus on obtaining specific details about what each witness observed, heard, or knows regarding the incident(s). It's important to remain neutral and avoid leading questions that could bias the responses. Each witness's testimony should be documented meticulously, noting any relevant dates, times, and other contextual details that can help verify the accuracy and relevance of the information provided.

Interview the Accused

Finally, the accused individual is interviewed to hear their side of the story. This interview should be approached with an open mind and a neutral stance. The accused should be informed of the allegations against them and given a chance to respond to each point in detail. The interviewer should ask open-ended questions to allow the accused to explain their perspective and provide any evidence or witnesses that may support their account.

Document Interviews

By carefully conducting and documenting each interview, the investigator can build a robust foundation of evidence to support the final findings and conclusions of the investigation. Take detailed notes during each interview. If you record the interview, get the participant’s consent first.

Step 5: Review and Analyze the Evidence

By systematically collecting, reviewing, and analyzing evidence, the investigator can build a robust foundation for making informed decisions. This comprehensive approach ensures that the final findings are well-supported and can withstand scrutiny, ultimately leading to a fair and just resolution of the investigation.

Collect and Document

This process begins with systematically gathering all relevant materials, such as documents, emails, text messages, photographs, surveillance footage, and physical items related to the allegations. It's essential to document each piece of evidence meticulously, noting how and when it was obtained to maintain a clear chain of custody. Proper documentation and secure storage of evidence help ensure its integrity and reliability, which are crucial for the investigation's credibility.

Review and Analysis

Once the evidence is collected, the next step is a thorough review and analysis. The investigator examines each piece of evidence to identify consistencies and corroborate the information obtained during interviews. This involves cross-referencing documents, verifying timelines, and assessing the credibility of digital and physical evidence. Any discrepancies or conflicting pieces of evidence should be closely scrutinized to understand their implications.

This detailed analysis helps in piecing together a coherent and factual narrative of the events in question. The investigator must also consider the legal context, ensuring that evidence collection and analysis comply with privacy laws and data protection regulations.

Source Credibility

Evaluating the credibility of sources is a critical component of this process. The investigator should assess the reliability of each witness and the authenticity of the evidence presented. Factors such as the consistency of testimonies, the presence of any biases, and the overall plausibility of the information should be carefully weighed.

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Step 6: Make a Decision

Making a decision is a pivotal step in the workplace investigation process, where all the gathered evidence and testimonies are synthesized to determine the outcome of the case.

Consider the Evidence

The investigator must carefully weigh all the information collected during the investigation, considering the credibility of the sources and the consistency of the evidence. This involves a detailed comparison of the complainant's account, the accused's response, and the witnesses' statements, as well as any physical or digital evidence that supports or contradicts these accounts. The goal is to establish a clear, objective understanding of what occurred, based on the preponderance of the evidence.

Reach a Conclusion

The decision-making process should be methodical and impartial. The investigator must avoid any biases or preconceived notions, ensuring that the conclusions are based solely on the facts presented. It can be beneficial to consult with legal advisors or other senior HR professionals to review the findings and ensure that the decision aligns with legal standards and company policies.

This step might also involve revisiting certain aspects of the investigation to clarify any remaining ambiguities or to gather additional information if necessary. Documenting the decision-making process thoroughly is crucial, as it provides a clear record of how the conclusion was reached, which can be invaluable if the decision is later questioned.

Report the Decision

Once a decision is made, it should be documented in a formal investigation report. This report should include a summary of the allegations, the investigation process, the evidence reviewed, and the final conclusions. It should also outline any recommended actions or disciplinary measures, ensuring that they are proportionate to the findings and consistent with company policies and legal requirements.

Communicating the decision to the relevant parties is the final step, which should be done with sensitivity and respect for confidentiality. Keep a secure record of the investigation report and all related documentation for your files.

Software like Eddy provides a secure location to document the results of a workplace investigation.

Step 7: Take Appropriate Action

Once the findings have been documented and the decision has been made, the HR leader must implement the recommended actions or disciplinary measures. These actions should be fair, consistent with company policies, and proportionate to the severity of the misconduct.

Depending on the outcome of the investigation, actions may range from additional training and counseling to warnings, suspension, or termination of employment. It's essential to communicate the decision to the involved parties clearly and respectfully, explaining the reasons behind the actions taken and emphasizing the commitment to a fair and respectful workplace.

Verbal or Written Warning: Issuing a formal warning to the employee about their behavior, outlining the misconduct and the expectations for future conduct. This can be documented and placed in the employee's file.
Training and Counseling: Requiring the employee to attend specific training sessions or counseling programs related to the misconduct, such as anti-harassment training, diversity training, or anger management courses.
Performance Improvement Plan (PIP): Placing the employee on a structured plan that outlines specific performance goals and behaviors that need to be improved. Regular check-ins and evaluations are conducted to monitor progress over a set period.
Loss of Privileges: Removing certain benefits or privileges, such as access to company events, flexible working arrangements, or remote work options, as a consequence of their actions.
Reduction in Pay or Bonus: Implementing a temporary or permanent reduction in salary or withholding a bonus as a disciplinary measure for the employee's misconduct. This action should be clearly communicated and documented.
Suspension: Temporarily suspending the employee from work without pay as a consequence of their actions. The duration of the suspension can vary depending on the severity of the misconduct.
Demotion or Job Reassignment: Demoting the employee to a lower position or reassigning them to a different role or department within the company. This can be a way to limit their responsibilities or change their work environment.
Termination of Employment: Terminating the employee's contract and employment with the company as a result of serious or repeated misconduct. This is the most severe disciplinary action and is typically reserved for the most serious offenses.

Implementing corrective measures also includes addressing any broader issues uncovered during the investigation. This may involve reviewing and updating company policies, improving training programs, or taking steps to prevent similar incidents in the future. Ensuring that preventive measures are in place demonstrates the company's commitment to maintaining a safe and respectful work environment.

Additionally, HR should monitor the situation post-action to ensure that the measures are effective and that no retaliation occurs against those who participated in the investigation. Provide support and resources to those affected by the investigation and periodically review investigation processes and update procedures to enhance effectiveness.

Workplace Investigation Checklist

Receive and Document the Complaint:

☐ Ensure the complaint is received formally (in writing or documented if verbal).

☐ Record the date, time, and details of the complaint.

☐ Acknowledge receipt of the complaint to the complainant.

Conduct Preliminary Assessment:

☐ Evaluate the severity and nature of the allegations.

☐ Determine if any immediate actions are required (e.g., separating parties).

☐ Assess the need for legal consultation.

Select the Investigation Team:

☐ Choose an impartial investigator or team.

☐ Decide between internal or external investigators based on potential conflicts of interest.

Define the Scope and Objectives:

☐ Clearly outline the specific issues and allegations.

☐ Identify relevant company policies and legal regulations.

☐ Set clear goals for the investigation.

Establish Confidentiality Protocols:

☐ Develop methods for secure storage and sharing of information.

☐ Communicate confidentiality requirements to all parties involved.

Prepare for Interviews:

☐ Identify and list all relevant witnesses.

☐ Develop tailored, open-ended questions for each interviewee.

☐ Gather and organize relevant documentation and evidence.

Conduct Interviews:

☐ Begin with the complainant, followed by witnesses, and then the accused.

☐ Take detailed notes or record interviews with consent.

☐ Ensure a neutral and professional demeanor throughout.

Collect and Preserve Evidence:

☐ Gather all relevant documents, emails, and physical evidence.

☐ Securely store digital and physical evidence to prevent tampering.

☐ Maintain a clear chain of custody for all evidence.

Review and Analyze Evidence:

☐ Cross-reference evidence with interview statements.

☐ Identify consistencies, discrepancies, and credibility of sources.

☐ Consult with legal advisors if necessary.

Make a Decision:

☐ Weigh all evidence and testimonies objectively.

☐ Document the decision-making process and rationale.

☐ Ensure the decision aligns with company policy and legal standards.

Prepare the Investigation Report:

☐ Include a summary of allegations, methodology, findings, and conclusions.

☐ Outline recommended actions or disciplinary measures.

☐ Ensure the report is clear, detailed, and confidentially stored.

Communicate Findings:

☐ Inform the complainant and accused of the outcome respectfully.

☐ Explain the reasons for the decision and any actions taken.

☐ Ensure confidentiality and sensitivity during communication.

Implement Corrective Measures:

☐ Apply appropriate disciplinary actions or corrective steps.

☐ Update company policies or training programs if necessary.

☐ Monitor the workplace to ensure measures are effective.

Post-Investigation Follow-Up:

☐ Ensure no retaliation occurs against any parties involved.

☐ Provide support and resources to affected employees.

☐ Review and improve investigation processes based on feedback.

Maintain Records:

☐ Securely store all documentation and evidence related to the investigation.

☐ Ensure records are accessible for future reference if needed.

☐ Comply with legal requirements for record retention and confidentiality.

Final thoughts

An established process for workplace investigations is essential for protecting both the integrity of the organization and the HR team. It provides a consistent and legally compliant framework for handling complaints, ensuring fairness and impartiality while safeguarding the rights of all parties involved. This systematic approach minimizes the risk of errors, bias, and legal repercussions, demonstrating the HR director's commitment to justice and accountability.

Document everything in Eddy

Create notes in Eddy to track important information from performance reviews, improvement plans, disciplinary issues, and more.

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Create notes in Eddy to track important information from performance reviews, improvement plans, disciplinary issues, and more.

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