Navigating workplace conflict is an inevitable part of managing any organization. Research shows that around 85% of employees encounter some form of conflict at work. While many issues can be resolved through open communication, some situations demand a more structured approach.
Allegations of harassment, discrimination, or serious misconduct often require thorough investigations to uncover the facts and determine the right course of action.
In this article, we explore when workplace investigations are necessary and share best practices for managing them effectively. Whether you’re an HR professional or a manager, knowing how to handle these situations can protect both your employees and your organization.
When to Launch a Workplace Investigation: Key Triggers
Knowing when to initiate a workplace investigation is a critical part of effective people management. If personal conflicts escalate into allegations of harassment or discrimination, particularly if they involve a protected class, an investigation is not just recommended – it’s legally required, regardless of how valid the claim seems initially.
To learn more about addressing harassment in the workplace and fostering a safer environment, check out our article on the topic.
Misconduct, such as discrepancies in expense reports or suspicious employee behavior, also warrants an investigation to determine whether wrongdoing has occurred.
Other serious situations, such as allegations of illegal activities – like an employee selling stolen goods on company property or a manager engaging in fraudulent business practices – demand immediate action and a thorough investigation to ensure legal compliance and to protect the company.
Other triggers for investigations can include whistleblower reports, safety-related incidents, audit findings, or citations from government agencies. Addressing these issues promptly through a formal investigation protects both individuals and the organization while promoting a culture of transparency and accountability.
Internal vs. External Investigations: Weighing the Options
Deciding whether to handle an investigation internally or hire an external expert requires careful consideration of the issue’s complexity and potential risks. Internal investigations may be appropriate for some situations, such as minor policy violations, employee misconduct, and safety concerns, as long as no significant conflicts of interest exist, and specialized knowledge is not required. HR can usually handle these matters.
However, the potential for bias is an important consideration. Those conducting the investigation may have personal connections or experiences that could unintentionally affect their objectivity. In contrast, external investigators offer a neutral, third-party perspective, free from internal influence.
Another key factor is expertise. Investigations into serious matters like harassment, discrimination or other legal violations often demand specialized knowledge that internal teams may lack. Additionally, internal investigations can be time-consuming, pulling staff away from their regular duties. While external investigators may be more costly than using in-house staff, they bring objectivity, expertise and resources that can be invaluable, especially for complex or high-stakes cases.
Confidentiality is also critical. Internal investigations can risk breaches of confidentiality, particularly in sensitive situations. External investigators are often better equipped to manage sensitive information discreetly, ensuring that privacy is maintained.
For these reasons, many organizations choose external investigators for significant or complex matters to ensure a fair and thorough process.
Managing the Investigation Process
Whether the investigation is handled internally or externally, a structured approach is essential for managing it effectively. Start by promptly acknowledging any reports or complaints to demonstrate that the issue is being taken seriously, even if the full investigation details are still being determined. Document the nature of the complaint, the parties involved, and all relevant information to create a clear record of the process.
Managing Internal Investigations
If conducting an internal investigation, follow these steps to manage the process effectively:
Before the Investigation: Clearly define the purpose and scope of the investigation. If dealing with personnel issues, determine if the accused individual or individuals should be placed on administrative leave during the investigation. Select an unbiased and qualified investigator, often someone within Human Resources, and develop a detailed investigation plan.
During the investigation: Begin with interviewing the complainant to get a detailed account of the issue. Interview witnesses or other involved parties, and the accused. Collect and review all pertinent evidence and documentation, taking careful notes throughout the process.
Concluding the Investigation: Assess all gathered information and prepare a comprehensive report summarizing the findings. Determine if corrective or disciplinary actions are needed and inform both the complainant and the accused of the outcome. Implement any necessary changes to policies or procedures to prevent future issues.
Throughout the process, confidentiality should be maintained, but avoid making promises of absolute secrecy, as some disclosures may be legally required. Ensure all steps are documented and that no retaliation occurs against the complainant.
Managing External Investigations
If working with an external investigator, follow these best practices to help facilitate the process:
Select the Right External Investigator: Choose someone with expertise in the specific issue being investigated, such as harassment, discrimination, or legal violations. Ensure they have a proven track record of impartial investigations and are knowledgeable about relevant employment laws.
Define the Scope and Expectations: Establish the purpose, scope, and objectives of the investigation from the outset. Provide the investigator with all necessary documentation and access to key personnel. Establish timelines and deliverables, such as reports and recommendations, to avoid misunderstandings later.
Ensure Confidentiality and Communication: While maintaining confidentiality, set up regular communication to keep stakeholders updated on the investigation’s progress. This balance ensures transparency without compromising sensitive details.
Common Pitfalls to Avoid
Workplace investigations can face numerous challenges if not handled properly and carefully. Common pitfalls include poor planning and execution – such as failing to respond promptly to complaints, lacking a clear reporting system, or rushing through the investigation. Bias and lack of objectivity, particularly when internal staff have close connections to the situation, can also undermine the investigation.
Inadequate documentation is another critical issue. Failing to properly record evidence or interviews can damage the investigation’s credibility. Confidentiality breaches and communication missteps – such as failing to update the complainant – can also lead to complications. Lastly, incomplete evidence collection or improperly conducted interviews can result in flawed conclusions, especially when evidence is conflicting.
Avoiding these pitfalls helps ensure a fair and effective investigation that holds up under scrutiny.
Ensuring Fair and Effective Investigations
Effectively managing workplace investigations is key to maintaining a positive and legally compliant work environment. By knowing when to initiate an investigation, properly weighing the decision between internal and external resources, and avoiding common pitfalls, organizations can ensure a thorough and impartial process.
Approaching investigations with diligence and a commitment to fairness not only resolves immediate conflicts but also fosters a workplace culture of trust and accountability. A well-executed investigation strengthens the organization’s commitment to transparency and respect, creating a safer and more supportive environment for all employees.
A Trusted HR Partner
At XpanseHR, we are a trusted partner to businesses of all sizes and industries, offering confidential, third-party investigations to help employers navigate even the most complex workplace challenges. Reach out to us today to learn how we can support your organization.
