Workplace investigations are an important part of any organization’s efforts to maintain a fair, safe, and legally compliant environment. HR plays a crucial role in ensuring that these investigations are conducted thoroughly, impartially, and in compliance with all relevant laws and company policies. Whether the investigation surrounds harassment allegations, safety violations, or a different form of misconduct, it’s up to HR professionals to handle each case with care to protect both the individuals involved and the organization.
A workplace investigation is typically triggered when there are allegations or concerns about a violation of company policy, legal requirements, or unethical behavior. These investigations may arise in response to a wide variety of issues, such as harassment, discrimination, workplace safety violations, misconduct, fraud, or whistleblower complaints. Each of these situations requires careful attention.
Nobody in HR thrives on investigations, it’s arguably one of the trickiest parts of the job. There are ways to go about them that leave everyone feeling heard and don’t result in too much turmoil.
During investigations, HR professionals need to:
Act promptly.
HR must act quickly when an allegation is made to ensure that the issue is addressed promptly. Kicking the can down the road or dragging your feet will only lead to more problems in the future. While HR professionals are some of the busiest in the building, it’s important that workplace investigations are given priority and time so that people’s concerns are handled quickly. If someone reports an issue that doesn’t get any attention, you’re going to be facing a much larger issue.
Be completely thorough.
HR professionals need to collect all relevant facts and documentation to ensure the investigation is based on sound evidence. This isn’t the time for sloppiness. The investigation should begin with a comprehensive review of the facts, which would look like HR collecting all relevant documentation (emails, reports, video footage, physical evidence, etc.) as well as witness statements and interviews.
Remain neutral.
Neutrality is paramount in any workplace investigation. HR should either personally oversee the investigation or appoint an external investigator who is neutral and without conflict of interest. This is always important, but particularly so if the allegation involves any senior staff or those with personal connections to HR. It can be hard to remain neutral in high-emotion situations with people you know and care about, so really consider hiring that external investigator.
Practice clear communication.
Both the complainant and the accused have the right to be informed of the investigation’s process and outcomes. Communication should be private, but clear and frequent. HR must then communicate the outcomes of the investigation to both parties, and if disciplinary action is taken, HR should explain the reasoning behind the decision and outline any steps for appeal or further resolution. If the rumor mill has gotten out of hand and a statement needs to be made, make sure that it’s completely neutral, clear, and protects all parties involved.
Respect employee confidentiality.
It’s essential to maintain confidentiality during the investigation. HR should ensure that sensitive information is shared only with the necessary parties, and that all records related to the investigation are securely stored and accessible only to authorized personnel. Documenting the entire investigation process is critical for defending against future legal action, but that documentation needs to be safeguarded. Limit access to information and share details only with those who need to know. On a related note, it’s important for HR to make sure that no retaliation occurs against individuals who file complaints, participate in investigations, or provide testimony. This includes protecting whistleblowers and ensuring they feel safe enough to come forward. None of this will be possible if employee confidentiality isn’t held to a high standard.
Follow all legal guidelines.
Workplace investigations aren’t just about protecting the company’s reputation. They’re also about ensuring compliance with local, state, and federal regulations. There are several legal frameworks that HR must consider during an investigation, like the Occupational Safety and Health Act, the Family and Medical Leave Act, and Title VII of the 1964 Civil Rights Act. Finally, it’s also important to understand your state’s unique laws—many states have additional protections related to workplace conduct, discrimination, and harassment. These need to be understood and communicated by HR.
Apply corrective actions and consequences.
Once the investigation is final and all evidence has been gathered, HR must make proper recommendations based on what they’ve found. This might include disciplinary actions or corrective measures. The severity of the action will obviously depend on the nature of the violation and company policy. In cases of small or minor violations, HR might issue a warning or require additional training. But in more severe cases, HR may need to take more serious action, such as termination or even legal action. In some cases, the outcome might not result in disciplinary action for any one individual but may instead involve corrective measures, such as implementing new policies, providing additional employee training, or improving communication channels. In any case, some sort of action should come out of your investigation, unless it’s clearly proven that the accuser was completely in the wrong and 100% misread the situation. Otherwise, an investigation becomes a tool to check a box instead of a useful procedure that helps employees feel safe within their workplace.
The Bottom Line
HR’s role in workplace investigations isn’t just about enforcing company policies or being the “muscle” for an organization. Companies need to ensure fairness, transparency, and legal compliance in order to make the workplace a safe place to be. HR has the hefty responsibility of making sure that the company is a place where people feel seen and have avenues to get their concerns taken care of. You can either be a company who ignores its employees, or one who shows them genuine care and respect. The choice is really in HR’s hands. By handling any investigations with care, HR can protect the business while supporting the employees involved instead of seeing them as adversaries.
Claire Swinarksi is a Contributing Editor at HR Daily Advisor.
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