When Internal Investigations Are Necessary
Internal investigations are a critical tool for addressing workplace complaints and ensuring organizational compliance with employment laws and company policies. An investigation may be triggered by a complaint of harassment, discrimination, or retaliation; reports of theft, fraud, or misuse of company resources; allegations of policy violations; safety concerns or workplace violence threats; whistleblower complaints; or any situation where the organization needs to determine facts to make an informed decision. The quality of the investigation directly affects the organization's legal exposure and its credibility with employees.
Planning the Investigation
Assessing the Complaint
When a complaint is received, the first step is to assess its nature and severity. Determine whether the allegation, if true, would constitute a violation of law, policy, or both. Consider whether immediate protective measures are needed (such as separating the parties or placing someone on administrative leave). Identify the appropriate scope of the investigation and allocate adequate resources.
Selecting the Investigator
The investigator should be impartial, experienced, and free from conflicts of interest. Internal HR professionals often conduct routine investigations, but consider using an external investigator for cases involving senior leadership, allegations against HR personnel, complex legal issues, or situations where the perception of impartiality is critical. Whether internal or external, the investigator should have training in interview techniques, evidence analysis, and employment law.
Creating an Investigation Plan
Before beginning interviews, develop a written investigation plan that outlines the allegations to be investigated, the witnesses to be interviewed (and the order), the documents and evidence to be reviewed, the timeline for completing the investigation, and the interim measures in place. A structured plan helps ensure thoroughness and consistency.
Conducting Interviews
The Complainant Interview
Begin by interviewing the person who made the complaint. Create a comfortable, private setting and explain the investigation process, including the commitment to non-retaliation and the limits of confidentiality. Ask open-ended questions to gather a detailed account of the events, including dates, times, locations, witnesses, and any documentation the complainant may have. Avoid leading questions and allow the complainant to tell their story without interruption.
The Respondent Interview
Interview the person accused of the misconduct. Inform them of the allegations without revealing the complainant's identity if possible (though this is not always feasible). Give them a full and fair opportunity to respond. Ask specific questions about the events described in the complaint and document their responses carefully. Observe their demeanor, but base conclusions on evidence, not impressions.
Witness Interviews
Interview witnesses who may have observed the events in question or who can provide relevant background information. Instruct each witness to keep the investigation confidential and not to discuss their interview with others. Ask open-ended questions and avoid suggesting answers or sharing information from other interviews.
Gathering and Analyzing Evidence
In addition to interviews, collect and review all relevant documents and physical evidence. This may include emails, text messages, and other communications; performance evaluations and disciplinary records; security camera footage; electronic access logs; policies and procedures relevant to the allegations; and any other documentation that may corroborate or contradict the accounts provided. Analyze the evidence objectively, looking for patterns, consistencies, and inconsistencies. Assess the credibility of each witness based on corroboration, motive, demeanor, and the plausibility of their account.
Making Findings and Conclusions
After completing the investigation, prepare a written report that summarizes the allegations, the investigation process, the evidence gathered, and the investigator's findings and conclusions. Use one of the following standards to express your conclusions: "substantiated" (the evidence supports the allegation), "unsubstantiated" (the evidence does not support the allegation), or "inconclusive" (there is insufficient evidence to reach a determination). Base conclusions on the preponderance of the evidence (more likely than not), which is the standard used in most workplace investigations.
Determining Appropriate Action
The investigation findings should inform the organization's response. If the complaint is substantiated, determine the appropriate corrective action based on the severity of the misconduct, the respondent's disciplinary history, and the organization's policies. Corrective actions may range from coaching and additional training to written warnings, suspension, or termination. If the complaint is not substantiated, consider whether any other issues were identified that need to be addressed and whether the complainant needs additional support or protection from retaliation.
Closing the Investigation
Communicate the outcome to both the complainant and the respondent. While you should not share specific disciplinary details with the complainant, let them know that the matter was investigated and that appropriate action was taken. Follow up with both parties in the weeks following the conclusion to ensure there is no retaliation and that the workplace has stabilized. Retain all investigation records securely for the required retention period.
SHRM Exam Relevance
The SHRM exam frequently tests investigation procedures. Key topics include when an investigation is required, how to select and prepare an investigator, proper interview techniques, the preponderance of evidence standard, confidentiality and non-retaliation obligations, and the components of an investigation report. Scenario-based questions may ask you to identify the next correct step in an investigation or to evaluate whether an investigation was conducted properly.