An Introduction to Workplace Investigations

What is a Workplace Investigation?

When workplace misconduct happens, whether it is a policy violation or unethical behavior, the issue cannot simply be raised and judged on the spot. There needs to be a systematic process that is unbiased, confidential, and documented. That is where the workplace investigation process comes in.

A workplace investigation is a fair and transparent step-by-step procedure that uncovers the facts about an incident at work. It involves reviewing a complaint, witness testimonies, and evidence to decide the right course of action.

Who is Involved in Workplace Investigations?

An independent workplace investigation has various key players, and if any are missing, it can heavily impact the case. The following parties are usually involved:

• Complainant - The person who submitted the grievance or complaint.

• Respondent - The person accused of the violation or misdeed.

• Witness - The person having knowledge of the events either from observation or personal experience.

• Investigator - The person in charge of determining the facts of the case; usually involves a Human Resources (HR) professional, legal team, unit or department head, or an independent third-party investigator.

Purpose

Companies hold workplace investigations to make sure due process is applied to all parties. Everyone involved has a say, rather than it being a he said, she said situation. At its core, it aims to ascertain what truly happened through an intensive fact-finding process. 

For this to work, investigators (typically from human resources) gather information from all parties through interviews, documents, and other sources and collate it for further probing and analysis.

Through workplace investigations, companies can achieve the following goals:

• Detect violations and misbehaviors inside the organization

• Determine the roots of misconduct

• Ensure compliance with existing policies and regulations

• Reveal areas for improvement in business operations

• Protect the organization and its reputation from unjust claims

• Improve current policies and practices to create a healthier working environment

Types of Workplace Issues

Workplace investigations typically take place for grave offenses and violations that can impact an organization’s operations, legal compliance, and reputation. The list below shows the most common types of issues that warrant a formal investigation:

• Company policy violations – repeated and/or serious offenses

• Safety and hazard issues – workplace injuries and fatalities

• Discrimination – based on age, gender, color, sexual orientation, nationality, disability, religion, personal beliefs, and more

• Harassment – name-calling, bullying, physical assault, intimidation, threats of violence, and more

• Workplace violence – criminal intent, customer, worker-on-worker, interpersonal

• Criminal offenses – theft, misappropriation of funds, money laundering, extortion, fraudulent practices, and more

7 Steps in the Workplace Investigation Process

7 Steps in the Workplace Investigation Process

When a manager or HR receives a verbal or written complaint from an employee, these are the steps to follow when conducting workplace investigations:

1. Review the case details with the complainant

The first step in the investigation process is to verify the complainant’s submitted report. The person in charge reviews the details carefully, noting the purpose, scope, actions, timeline, and any evidence provided. This helps determine whether the situation requires formal intervention. 

2. Check if an investigation is necessary

Before launching a formal investigation, it’s best to determine if it’s necessary in the first place. For example, the employer can seek alternative ways to resolve the issue without needing to escalate it into a full-scale investigation.

To decide if an investigation is worth pursuing, see if the issue breaches labor and criminal laws, such as the following:

• Workplace discrimination

• Workplace safety

• Fair labor practices

• Employee benefits

• Corporate and white-collar crimes

3. Prepare for the investigation

After establishing the need for a formal investigation, they must begin laying the groundwork as soon as possible.

A smooth-sailing employee investigation begins with a proper plan. It sets clear expectations about the case and ensures that the investigation is fair and just. A solid investigation plan should address the following questions:

• What must be investigated?

• Who will lead the investigation process?

• Who are the witnesses to the case?

• What sources of evidence should be looked into in the process?

• How long will the investigation take?

• What company guidelines and policies should be followed?

• How will the findings be presented, reported, and acted upon?

4. Notify the respondent of the case

Once the preparations are complete, it’s time to proceed with the investigation process. Typically, it begins by explaining to the respondent the complaint filed against them. In this step, the investigator should inform them about the following matters:

• The reason for the investigation

• The person in charge of carrying out the process

• The procedure of the investigation process

• Their rights, including having witnesses on their end

• The length and duration of the investigation

• The next steps in the following days (e.g., meeting)

The investigator must always emphasize that everything will remain strictly confidential to secure the cooperation of the respondent.

5. Collect information from all parties

For a fair and objective conclusion, it’s important to gather information from all involved parties. Begin by reviewing the investigation plan and its details about the types of evidence necessary for the case.

During their data gathering, the investigator can probe into two things: tangible evidence and eyewitness testimonies.

Tangible Evidence

Obtaining tangible sources (both physical and digital) as proof is key to confirming that the issue occurred. Some common examples include:

• Paperwork and receipts

• Email correspondence and digital records

• Attendance records and phone logs

• CCTV recordings

Witness Statements

Witness accounts provide valuable details that records alone may miss. Investigators should collect written or verbal statements and make sure witnesses know their information will stay confidential and not be used against them.

They should know what the case is about and what information is needed. Use these guide questions to guide the discussion:

• When and where did the issue occur?

• What are the things you saw, heard, or knew about the issue?

• What was your reason for being present in that situation?

6. Evaluate the evidence at hand

Once the information is sufficient, the investigator can now review the materials presented to them. They will cross-examine the testimonies from the involved parties (complainant, respondent, and witnesses), find a common link or pattern among their statements, and identify and rule out inconsistencies.

Investigators should set aside biases and focus on the facts to form an accurate and credible account of what happened.

7. Communicate the findings and next steps

Lastly, once the investigator has finished examining the evidence, they will report the results to the people or parties specified in the investigation plan. In this step, they will draft and hand over a written investigation report, outlining the details of the case.

Investigators will also often create a work environment survey to understand the overall climate of the workplace.

If needed, the investigator may also recommend the appropriate course of action, which could include the following:

• No further action - The case is closed with no action required.

• Formal action - Policy changes, corrective measures, or further investigation.

• Informal action - Mediation, counseling, training, or warning for disciplinary action if committed again.

Best Practices for Investigations in the Workplace

A fruitful workplace investigation becomes possible with the right practices and procedures. Here are four things to keep in mind while holding an investigation in the workplace.

1. Keep matters strictly confidential.

Workplace investigations might involve personal information and sensitive data that can endanger a person if wrongfully disclosed. Moreover, this breach can jeopardize the integrity of the process, violate privacy laws, and put the person’s name and reputation at risk.

For this reason, it’s critical to keep all matters related to the investigation confidential until a final verdict is reached. Make sure to explain the importance of confidentiality to all staff members, regardless of their involvement in the case.

2. Treat all parties fairly.

An investigator serves as a middle ground between disputing parties. To uphold their credibility and integrity, they should provide fair treatment to all involved persons in the investigation. It entails treating both complainant and respondent with dignity and respect by:

• Giving a reasonable notice of the allegation or complaint

• Opening opportunities to gather evidence and present their case

• Allowing sufficient time to let each side to be heard and understood

3. Ensure objectivity during investigations.

Humans, including investigators, are bound to have biases and preconceived notions in their heads. However, these personal leanings can cloud an investigator’s judgment, diminishing their credibility and forging mistrust in an organization.

For this reason, an investigator must set aside their personal opinions and put on an impartial lens during the investigation process. Before reaching a conclusion, they should gather sufficient data based on reliable sources.

4. Follow company policies and legislation.

Lastly, investigators must always adhere to company policies and legal guidelines when carrying out workplace investigations. When gathering evidence, for instance, it’s important to align their approach with data privacy and protection laws in their jurisdiction.

After all, these laws and protocols are in place to protect the integrity of the investigation and to carry it out in a fair, objective, and timely manner.