What you need to know about an HR investigation

An HR investigation may be essential to ensure compliance with legal requirements. However, the importance of this process goes beyond the simple compliance aspect. Indeed, an HR investigation may result in an improved workplace environment and work culture. It may even have an impact on employee morale and engagement in their role. In this section, we clearly define what an HR investigation is. We also highlight the key qualities of these investigations and define when it is essential to conduct one.

What is an HR investigation?

In any business, it is possible that an employee could make accusations against one of their colleagues or even their manager. It is the responsibility of the employer to investigate inappropriate behaviour and take action. As such, an HR investigation is a fact-finding exercise that aims to determine what happened and if it was indeed misconduct. Appropriate action should follow and may lead to dismissal. It is therefore essential that the HR investigation is fair and that there is no bias.

Key qualities of an HR investigator

There are some specific qualities that an investigator should have to ensure that they are impartial and that the investigation is conducted in a fair way. Let’s have a look at these essential qualities.

Good knowledge and thorough fact finding

The person in charge of the investigation, the investigator, should have a holistic understanding of the situation. This means that all sides should be listened to and considered. But the knowledge required goes beyond the fact-finding exercise. The employee in charge should also be fully aware of all the policies and processes that the company has in place to address these types of situations. This is essential to ensure that the process is thorough and fair.

Open two-way communication

The investigator assigned to the dispute should be able to collect information from all parties. Open two-way communication is paramount to ensuring that there is no gap in the information collected. This means that they should continue asking questions until they are satisfied with the amount of information collected. Additionally, it is recommended that the investigator summarises their understanding of the situation and that this summary is validated by the individual who has raised the dispute.

Related: Twelve tips for employers on how to overcome communication barriers in the workplace

Empathy and open mindedness

An investigation can be daunting for the employees involved. Some may experience anxiety or be overwhelmed by the process. Considering these emotions is key to ensuring that employees are as comfortable with the process as possible. It is also important that the investigator remains impartial and manages their emotions throughout the process.

It may be relevant at this stage to remind stakeholders of the existence of the employee assistance programme (EAP). Read our EAP factsheet for more information on this topic.

Expertise in HR investigations

Conducting investigation meetings requires a set of qualities and expertise. The investigator should be familiar with these types of meetings. They need to be able to collect information and understand the organisation’s policies. The result should be a balanced view from all sides and should lead to the appropriate recommendation for resolution. Additionally, it is important that the investigator has an acute sense of responsibility and that they know how to keep information confidential.

When is a workplace investigation necessary?

An HR investigation is a serious and lengthy process. Not every dispute should lead to an investigation. Often, altercations or disagreements between colleagues can be resolved with conversations. Knowing when to launch an investigation is essential to ensuring that workplace misconduct is taken seriously while maintaining reasonable levels of productivity for HR teams. Here are some situations that should systematically lead to an HR investigation:

• When a formal complaint has been raised by an employee
• When a workplace policy has been violated

In both cases, a formal investigation should take place. If this is not accomplished, the organisation risks costly penalties.

Seven steps to your HR investigation

In the section below, we lay out seven key steps to launching an HR investigation. These steps should form the framework of the investigation process. Following the steps highlighted below will guide the results of the investigation towards the most appropriate outcome.

Step 1: Take action as soon as an issue is raised

Taking immediate action is essential to ensuring that the situation doesn’t escalate. For example, if an employee is being disruptive to others, they should be sent home and a meeting should be arranged at a later time to prevent the conflict from escalating.

Step 2: Assign an investigator

Selecting the right investigator is essential for the success of the investigation. The individual selected should be impartial and have sufficient knowledge of the process. To ensure that there is no bias, they should have no personal involvement in the case.

Step 3: Define the scope of the investigation and create a plan

Before you launch the investigation, make sure that the issue is clearly defined and make it clear to all parties what is being investigated. Highlight which policies were violated, if any. During this step, you should define the time frame of the investigation. This may vary depending on the size of the dispute. Use the information collected to create a plan and share it with the stakeholders involved.

Step 4: Launch the interview process

The interview stage is by far the most important step of the process. Interviews are led by the investigator and should be thorough. The objective is to fully understand the situation and what happened. This step may uncover essential information. The investigator should start the interview by introducing who is present and sharing the purpose of the meeting. Expectations from all parties should be highlighted and their integrity should be requested.

Related: How to promote workplace integrity, a guide with concrete examples for employers

Step 5: Analyse the evidence and draw conclusions

Once the interviews are completed, the role of the investigator is to analyse the situation from an impartial point of view and draw conclusions. To do so, they need to decide the merits of the claim based on the evidence provided. If misconduct is confirmed, the appropriate action should be taken. This can be disciplinary action, termination of the employment contract, training or coaching sessions or a change in the workplace policy. At this stage, it is essential that the conclusions of the investigation, together with its rationale, are documented.

Step 6: Build your report and share the results with stakeholders

Writing down the outcome is only one part of the work. Building a thorough report that incorporates interview notes, supporting documentation and actions to undertake is just as essential. This report should form a formal record that documents the entire investigation. It should demonstrate that the set process was followed and that the investigation was fair and impartial. Once the report has been created, the results of the investigation should be communicated to all parties.

Step 7: Managing the outcome

The content of this last step will depend on the outcome of the investigation. It is best practice to check with the stakeholders involved a month after the end of the investigation to get their views on the process and gauge how they feel overall.

By following the steps above, you ensure that the HR investigation is thorough and impartial.

Tips and best practice

To ensure that the process is managed smoothly, we highlight some tips and best practice in the section below. Keep these in mind throughout the HR investigation process.

• The investigation officer should be fair and confident.
• Follow the company procedure throughout.
• Make sure that the information remains confidential.
• Look into all the evidence available.
• Clearly define the timescale of the investigation and keep to it.
• Consider any witnesses or other stakeholders involved.
• Ensure that communication is detailed and that the individual under investigation understands potential consequences.
• Keep in mind that existing policies can be challenged.
• Stay impartial and do not assume guilt.
• Remind stakeholders at interviews why they are present and what their roles are.
• Follow the HR investigation protocol.
• Document everything.

Although HR investigations require time and money, they may be necessary for both employers and employees. Employers should have the appropriate policies in place and treat misconduct seriously. Doing so will ensure that they create a healthy work environment that emboldens respect and sanctions inappropriate behaviour.