What is an HR investigation?
To guarantee a welcoming and safe workplace, it is critical to have an HR investigation procedure in place. It requires persistence, time, and energy to set up and implement this kind of process. This article will define human resources investigations and provide guidelines for conducting fair HR investigations.
It is the responsibility of your company’s HR department to launch an inquiry into allegations of employee wrongdoing when an employee files a formal complaint. Companies in the US are legally required to look into these claims in a fair and timely manner.
Since any of these complaints could lead to a lawsuit, it is vital to investigate them thoroughly. That is why your company must take HR investigations seriously to put a stop to any negative consequences right away. Addressing complaints promptly will help keep internal problems from becoming systemic. Plus, word will spread that this company is great to work for.
Human resources can look into allegations of retaliation, harassment, discrimination, health and safety, and ethics in the workplace.
In a survey by AllVoices, 44% of respondents said they had been the target of workplace harassment, but only 50% said they had reported the incident. Psychological and verbal forms of harassment, like spreading slander or rumors about specific colleagues, are the most common in the workplace. Even in the remote workforce, whether by email, video conferences, or regular phone calls, harassment is a problem. Furthermore, employees may also face physical or sexual harassment.
The Equal Employment Opportunity Commission of the United States says that discrimination is when someone is treated differently or less favorably because of their race, religion, sex (including gender identity, pregnancy, or sexual orientation), disability, national origin, age (forty or older), or genetic information. An example of discrimination would be an employee not getting a promotion because they are pregnant.
Concerning health and safety on the job, the United States is one of several nations that guarantee workers a risk-free environment. Companies should ensure that their employees have access to safety gear such helmets, harnesses, gloves, and chemical protection gear. Imagine you break these restrictions in the United States. In this case, an employee may report the incident to the OSHA, a branch of the US Department of Labor, putting your company at risk.
Workplace ethics can be defined in a variety of ways, but in a nutshell, it’s the way workers in an organization keep tabs on one another. There is a wide variety of unethical behavior in the workplace. It can be as black-and-white as stealing from customers or cheating them out of their money. Misuse of business time is one example of an offense that can be more open to interpretation.
The United States government protects workers who wish to lodge complaints with their employers against retaliation. Eighty-five percent of employees know how and where to report problems, but many don’t think their problems will be dealt with fairly and are afraid of retaliation, according to a survey by HRAcuity. Retaliation is when an employer or manager does something bad to an employee who files a complaint about discrimination or harassment at work. Some examples include being demoted, reassigned, fired, or removed from team activities.
Why is an HR investigation procedure necessary?
While the specifics of any workplace investigation may vary depending on the facts and circumstances, there are some best practices that your company can follow to limit harm and preserve goodwill among employees. When it comes to settling workplace disputes, HR investigations are crucial. Before anything happens, your company should have an HR investigative procedure in place to show your employees that you care about their health and safety and want to make the workplace safe for everyone.
It is critical that you teach your employees how to file both official and informal complaints with your company. If the need arises, you give them the authority to do it on their own.
If carried out correctly, HR investigations can aid in safeguarding the company’s interests by revealing wrongdoing and providing the employer with information to make informed, impartial decisions.
At the end of the day, your company will be better protected from legal difficulties like wrongful termination claims if you can carry out thorough HR investigations.
What is the typical length of an HR investigation?
Every investigation is going to be different. The time it takes to complete an HR investigation might vary greatly, ranging from just a few days to a few months. Nevertheless, in order to prevent the loss of important data and information, the HR investigation should start promptly upon HR becoming aware of the matter. Such evidence may include recordings of security footage, Zoom meetings, papers, or comments made by witnesses.
The investigator may need assistance from other departments at times, which can lengthen the timetable. An investigator may have to contact IT or an outside party to obtain access to an employee’s work device if the investigation calls for checking their work phone or computer.
The time required to complete an investigation tends to increase as its complexity, number of persons involved, or number of allegations grow.
A guide to conducting an impartial HR investigation
Human resources investigations must adhere to established protocols in order to be fair and objective. Now let’s see how these procedures can be implemented in real life.
- Move swiftly to resolve the issue
Human Resources may need to respond swiftly to safeguard either the accuser or the complainant in some cases, depending on the nature of the accusation. For instance, it may be necessary to temporarily suspend the employee(s) involved in the complaint or accused until the investigation is complete, make adjustments to their work schedules, or even separate them if they work together.
Claims of harassment or sexual harassment, in particular, necessitate swift and covert action. It is important to keep in mind, though, that not all the facts are known yet, so any steps taken should not be seen as the ultimate decision.
- Assign responsibilities for investigation and decision-making.
To oversee the investigation, you must designate an investigator. They shouldn’t have any ties to either the accuser or the complainant; this might be an HR staff member or a lawyer from inside the company. It is critical that the investigator maintains objectivity and fairness while they gather evidence.
Many businesses keep a roster of qualified investigators on hand so they can respond quickly to any formal complaint. Whenever a case involves high-ranking employees or is very complicated, some companies will bring in outside investigators to help.
It is inappropriate for the investigator in charge of finding out what happened to also be the one who decides on disciplinary actions. That way, it won’t be implied that the investigation’s outcome was skewed. Therefore, choose the person who will make the decisions before you begin to investigate. Again, this person has no connection to either the accused or the complainant; they are usually an HR expert or a lawyer from within the company.
- Formulate an approach to the investigation
In order to determine whether the complaint is valid, the investigator must first develop an investigative plan. A timeline for the HR investigation, a list of potential witnesses to interview, a description of the problem(s), any relevant policies or procedures from the workplace, any relevant legal documents, and an overview of the issue(s) will all be part of this.
Also, they should know what details they’re looking for and what information is currently lacking in the case. The investigator has an additional responsibility to inform the investigated employee of the rationale for the investigation, the planned course of action, and any potential further developments.
When conducting an investigation at work, it is critical to remember the importance of maintaining confidentiality at all times.
- Be sure to ask relevant questions during interviews.
Interviewing the complainant, witnesses, and accused employee is essential. To get the most out of your interviews, you should think ahead and prepare specific questions that will get to the heart of the matter. When conducting an investigational interview, it is possible to employ a variety of question models to get the truth. Here are a few illustrations:
- Using the REID method
- Cognitive assessment
- A paradigm known as the PEACE scheme
Given the inherent limitations of any given approach, it is not uncommon for investigators to employ a hybrid strategy.
Below are a few examples of questions:
- What happened, when, for how long, or how it was done?
- Was there any direct physical contact? Is it possible for you to explain it? Can you give an example of it?
- Are there any documents, such as emails, notes, or recordings, that you can use as evidence of what happened?
- Is there a reason for someone to fabricate or misrepresent what happened?
- Can you tell me what happened just before the incident?
Interviews are one option, but you can also request written comments from everyone involved outlining their perspective on the matter. Give specific directions on what to include in this type of written statement.
- Keep track of anything you find during the HR investigation.
The most time-consuming aspect of the HR investigation will be gathering documentation and evidence, which includes both digital and physical evidence, as well as testimonials. Digital proof must be validated and kept in a safe place, just as all physical evidence must be stored securely. To ensure the security, confidentiality, and organization of all workplace investigations, digital solutions like HR case management systems are a good idea.
Make sure to record every single detail of the HR investigation. The final report of the HR investigation provides a synopsis of the whole process, including interviews, evidence, findings, and recommendations. Keep in mind that the investigator will only offer a suggestion after reviewing the facts. In terms of disciplinary action, they have no say.
Depending on how deep the investigation goes, you need to know about related workplace policies, possible legal risks, and the pros and cons for the company as a whole.
- Share the findings of the HR investigation
After the investigation is over, the investigator will notify the appropriate decision-maker and any impacted parties. A lot of companies have policies in place regarding the publication of investigation details and the rights of employees who are involved. On occasion, staff members receive an “Executive Summary” outlining the results without providing in-depth descriptions of the testimony of the witnesses. The goal is to safeguard everyone’s privacy and interests.
The investigator is not involved anymore at this point. Rather, the report will be considered by the decision-maker to determine the next steps, including the necessity of disciplinary action. Be careful to include an appendix to the report explaining the rationale behind any choice that deviates from the investigation’s recommendations.
- Determine the next steps
After finishing out your HR investigation, the next step is to figure out what to do next. After making a judgment, the decision-maker will explain it to the accused and explain what disciplinary measures the company will follow. Your team may view the disciplinary meeting as a chance to provide goal-oriented feedback rather than a means of enforcing disciplinary measures, depending on the reason behind the investigation.
The decision-maker and employee can work together to create a performance improvement plan that outlines specific goals, strategies, and a timeframe for achieving those goals. Additionally, the decision-maker needs to make sure the employee understands what will happen if they don’t follow the program.
Another important thing to find out is if the investigation has had a negative effect on the business as a whole. If so, your company must immediately begin mending fences with its employees.
In sum
Nobody enjoys the process of conducting an HR investigation. But to maintain honesty, openness, and fairness, you must have a reliable HR investigation procedure and adhere to it strictly.
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