
Contents
- What is an HR investigation?
- Why are HR investigations important?
- Why are HR investigations important?
- How long do HR investigations take?
- When should you carry out an HR investigation?
- How to conduct an HR investigation, step by step
- HR investigation best practices
- Support effective HR investigations with PeopleHR
What is an HR investigation?
A HR investigation is a formal process used by employers to examine workplace complaints, disputes or misconduct. It involves gathering evidence, interviewing relevant parties and determining appropriate outcomes to resolve the issue and establish accountability. Having a robust process ensures fairness for all parties while maintaining compliance with company policies and employment laws.
HR or management teams may conduct investigations for various reasons, such as alleged misconduct, discrimination claims or breaches of company policies. The process must be impartial, thorough and legally sound to protect employees and the organisation from potential legal repercussions.
Why are HR investigations important?
The HR investigation process typically involves several steps, including gathering information, interviewing witnesses, reviewing evidence and determining outcomes. In HR, Investigations vary in complexity depending on the nature of the issue. More straightforward cases may be resolved in a single meeting, while others could require extensive documentation, legal consultations and detailed analysis to reach a fair conclusion.
How long do HR investigations take?
So, how long does a HR investigation take? The length of the process depends on the complexity of the case, the number of people involved, and the availability of evidence. Some investigations may conclude within a few days, while others could take weeks or even months. To ensure efficiency, HR teams should follow a structured approach, setting clear timelines and communicating expectations with those involved.
When should you carry out an HR investigation?
An investigation is necessary when workplace issues arise that require formal examination. Let’s explore some examples of issues that could warrant a formal HR investigation process.
Harassment
Harassment in the workplace can take many forms, including verbal abuse, bullying and inappropriate behaviour. These are just some of the instances of unfair treatment at work that could negatively affect employees and lead to an investigation. Addressing complaints of harassment promptly helps to create a safer and more inclusive work environment where employees feel valued.
Discrimination
Discrimination based on race, gender, disability or other protected characteristics must be taken seriously. A well-conducted investigation should ensure compliance with employment laws and protect employees from unfair treatment. As an employer, it’s important to be aware of indirect discrimination and its impact on employees. While they can be less obvious than examples of direct discrimination, they are just as harmful to morale.
Workplace policy breaches
Violations of company policies, such as misuse of resources or failure to adhere to attendance requirements, often require formal investigation. A fair process ensures that all employees are treated consistently, which means adhering to established HR policies and procedures when handling such cases.
Health and safety violations
Breaches of health and safety regulations can put employees at risk and expose businesses to legal consequences. The HR investigation process for health and safety violations should help to identify root causes, address hazards and put new procedures in place to prevent future incidents.
Unethical behaviour
Fraud, conflicts of interest and other unethical actions can damage a company’s reputation and lead to distrust in the workforce. Investigations into these matters must be thorough and documented correctly, as serious cases may lead to legal or disciplinary action.
How to conduct an HR investigation, step by step
A structured HR investigation process ensures fairness and compliance, whatever the issue. But how do HR investigations work? Let’s explore the key steps involved in carrying out a successful investigation.
1. Assess the initial information
Begin by reviewing the complaint or incident report to identify the nature of the issue and determine whether it violates company policies or legal regulations. Consider whether immediate action, such as suspending an employee or securing evidence, is necessary. Speak with the individual who raised the complaint to clarify any details and collect all relevant information before proceeding.
2. Choose an appropriate investigator
Selecting the right investigator is crucial for ensuring an unbiased and professional HR investigation process. Ideally, the investigator should be someone with no personal stake in the case and with the necessary experience and understanding of workplace laws to handle the matter impartially. For minor cases, an HR representative or manager may be suitable. However, for complex or sensitive issues, an external investigator might be the best option.
3. Create an HR investigation plan
A well-structured plan helps to keep the investigation on track and ensures that no crucial elements are overlooked. Define the scope of the investigation, listing key areas to examine and potential witnesses to interview, and make sure to establish a timeline with clear deadlines to avoid unnecessary delays. Identify any legal or compliance considerations, such as data protection laws, that may impact the investigation.
4. Conduct interviews and gather evidence
Interviews are a critical part of the HR investigation process. They must be conducted fairly and professionally, and accurately recorded. Start by speaking with the complainant, followed by key witnesses and finally the accused party. Prepare open-ended questions that encourage detailed responses, and avoid leading questions that could introduce bias. In addition to interviews, collect supporting evidence such as emails, CCTV footage, documents or previous complaints that may be relevant to the case.
5. Make and communicate a decision
Once all evidence has been reviewed, you’ll need to evaluate the findings objectively. Determine whether there is sufficient proof to support the allegations and whether company policies have been breached. Decisions should be based on facts, not assumptions. If disciplinary action is required, ensure that it aligns with company procedures and employment law. Communicate the outcome to all relevant parties clearly, while maintaining confidentiality where necessary.
6. Implement necessary remedial actions
After reaching a conclusion, any required actions must be carried out promptly. This might include disciplinary measures, such as warnings, suspensions or terminations, depending on the severity of the misconduct. In some cases, company policies may need to be updated to prevent similar issues in the future. Additional training or mediation between employees may also be necessary to address underlying workplace issues.
7. Follow up with affected parties
Following up after an investigation is just as important as conducting it. Check in with employees to make sure any concerns have been resolved and that the working environment has improved. If policy changes or training sessions were implemented, monitor their effectiveness over time. Ensuring continued support for those affected helps to rebuild trust and reinforces a culture of fairness and accountability.
HR investigation best practices
A well-executed investigation process ensures fairness and legal compliance. Let’s explore some investigation best practices that support fair, effective outcomes.
Take action as quickly as possible
The longer an issue remains unresolved, the more it can impact employee morale and workplace culture. As soon as a complaint is received, assess whether an immediate response is necessary, such as placing an employee on temporary leave or preserving key evidence.
Ensure confidentiality and impartiality
Maintaining confidentiality is essential to protect integrity throughout the entire investigation process. Information should only be shared with those directly involved in the case, and investigators must avoid conflicts of interest that could compromise the investigation’s credibility. To enhance impartiality, consider using external investigators.
Communicate clearly and professionally
HR professionals should clearly explain each stage of the process, expected timelines, and how findings will be determined. When conducting interviews, make sure to set a professional tone, listen actively and ensure that all parties have an opportunity to share their perspectives.
Follow HR policies and procedures
A well-structured HR investigation should align with company policies and employment law to prevent accusations of bias and strengthen the legal defence of any decisions made. Before beginning the process, investigators should be familiar with disciplinary policies, grievance procedures and relevant workplace regulations.
Document the entire HR investigation process
Thorough documentation that is clear, factual, and free from personal opinions is crucial in any investigation. Using a structured system, such as digital case management tools, can help HR teams to maintain detailed records of complaints, interviews, evidence and final decisions.
Understand when an investigation is and isn’t necessary
Not every workplace dispute requires a full HR investigation. Minor misunderstandings or conflicts between employees may be better resolved through mediation or informal discussions. However, when allegations involve misconduct, discrimination, harassment or legal violations, a formal investigation is necessary to protect the company and its employees.
Support effective HR investigations with PeopleHR
Conducting an investigation effectively requires a structured approach, clear policies and thorough documentation. A well-executed investigation not only ensures compliance and fairness but also helps to maintain trust and create a positive workplace culture. However, managing investigations manually can be time-consuming and prone to errors.
With our specialised HR software, you can streamline the process using automated workflows, secure document storage and real-time case tracking. This ensures that every step is handled consistently and efficiently while maintaining compliance with employment laws.
To see how PeopleHR can support your HR team, book a demo or contact us today.