Whether you’re part of a large employee relations team or juggling multiple HR hats at a smaller organization, investigations are a critical (and complex) part of your role. Employers have a responsibility to conduct fair and thorough investigations. It is also important that employees are aware of their rights and the procedures involved in investigations. A workplace investigation involves gathering information and evidence to determine whether an employee has violated a policy or engaged in inappropriate behavior. In a recent webinar for Case IQ, Natalie Ivey, MBA, SPHR, SHRM-SCP and Founder & CEO of RPC Human Resources, highlighted key insights for HR and employee relations professionals working to elevate their investigations strategy. Here are her six essential lessons.
When to Conduct an HR Investigation—and When Not To
One of the biggest myths in HR is that every complaint requires a formal investigation. Workplace investigations should occur when the issue poses serious risk to the reporter or the organization. But investigating every employee compliant is not always the most efficient or appropriate path.
“There’s a little bit of a different process for sorting out personality conflicts, departmental concerns, scheduling issues, and that kind of stuff,” Natalie explains. “Not everything really requires a formal investigation.” If a complaint does not require a formal investigation, employees and employees can agree to use alternative approaches such as mediation or coaching instead.
Instead, consider:
- Triage first: Assess if the issue involves serious misconduct that puts the organization at risk or is more of a departmental concern.
- Alternative resolution: Mediation or coaching may be more effective in low-risk scenarios.
Why the Intake Interview Shapes Every Workplace Investigation
The first conversation with a reporter can shape the entire case trajectory. Successful interviews in investigations involve careful planning, including crafting a standard list of questions to ensure thorough fact-finding. Effective interviewing techniques are essential for gathering accurate information and understanding the knowledge each interviewee possesses.
Best practices include:
- Ensuring the person being interviewed understands the purpose of the interview
- Encouraging the interviewee to share their story without interrupting
- Asking clarifying questions to define the allegation clearly
- Asking questions related to the incident to uncover all relevant knowledge the interviewee may have
- Establishing what the reporter hopes will happen after the investigation
This creates clarity while showing the employee that they’re heard and respected without setting unrealistic expectations.
Building HR Investigation Skills: Train Your Team for Success
Even if HR professionals aren’t full-time investigators, they must understand the basics of conducting fair, thorough investigations. This includes:
- Writing neutral, actionable allegations
- Understanding the difference between speculation and substantiated facts
- Staying up to date with relevant employment laws
Training and consistency are essential for defensibility and fairness. Choosing a credible and impartial investigator is essential for a fair investigation outcome. Having a knowledgeable team also puts employees at ease knowing that their case is being handled properly.
Managers often play a key role in supporting employee relations and ensuring policies are followed.
Knowing When to Escalate HR Complaints or Resolve Without an Investigation
As mentioned in lesson one, not every employee misconduct incident or issue will require a formal investigation. But how do you know when to escalate?
Natalie suggests using the following criteria:
- Severity of the allegation
- Risk to the organization or employee
- Credibility and specificity of information
- Evaluate the facts to determine what actually occurred
This helps focus resources on high-impact issues while avoiding over-investigating interpersonal friction. Understanding what happened is crucial for allocating resources appropriately and ensuring that the response matches the seriousness of what has occurred.
“HR really needs to allocate time for when you do have the more serious investigations. Timely investigations are essential to minimize potential harm to employees and the company and ensure accurate recollection of incident details. That’s a risk mitigation strategy for your organization,” Natalie says. “And if you’re getting involved in three, four, five different sort of drama-infused situations every day, and you’re expected to navigate everyone’s conflicts, then when something really big happens, where is the bandwidth for you to devote to that challenge?”
Tracking Investigation Metrics to Strengthen HR Operations
You track time-to-fill in recruiting—why not track time-to-close in investigations? Establishing clear and consistent protocols for HR investigations minimizes company liability.
It is also essential to establish clear documentation practices for all investigations, ensuring that evidence, interviews, and findings are thoroughly recorded in case you need to reference them later for another case or a lawsuit.
While proper documentation supports transparency, legal compliance, and defensibility, benchmarking metrics such as case closure rates, substantiation rates, and resolution timelines help identify gaps and drive corrective and preventive efforts. It’s time to bring the same data discipline to ER that you already apply to other HR functions.
Still not sure if it’s worth the effort? “That historical data is super important when you need to negotiate with leadership for more resources,” Natalie explains.
How Case Management Tools Improve Employee Investigations
Many teams are still relying on manual processes or disjointed systems. A purpose-built case management platform like Case IQ can:
- Track all case activity in one place
- Automate alerts and deadlines
- Provide structured reporting for audits and leadership reviews
Collecting relevant evidence includes documents, emails, messages, and surveillance footage, and you can keep them all together and secure right in the case file. The system helps document what is found during an HR investigation, ensuring that all facts and findings are accurately recorded. It also ensures that only authorized persons have access to sensitive information, protecting the privacy and rights of everyone involved.
In addition, a centralized case management system provides security for your data. As Natalie explains, “Everything is locked inside that case management system with access only for those who are authorized to access that case file.”
Labor Relations and Investigation Outcomes
Strong labor relations and effective investigation outcomes are at the heart of successful employee relations. When workplace investigations are conducted with care and integrity, they not only resolve individual complaints but also strengthen the overall health of the organization. HR professionals play a pivotal role in this process, ensuring that internal investigations are handled in line with employment laws, company policies, and best practices.
A thorough investigation process begins with assembling a qualified investigation team, which may include internal investigators or, in some cases, external experts. When a formal complaint is raised, it’s essential for the investigation team to approach the situation impartially, gathering all relevant documents and available evidence. This includes conducting interviews with witnesses, the subject of the complaint, and any other employees who may have relevant information. The intake interview is especially important, as it helps define the scope of the investigation and sets the stage for follow-up questions and further fact-finding.
Throughout the entire process, HR professionals must be vigilant about protecting confidential information and ensuring that no retaliation occurs against those involved in the investigation. Adhering to legal requirements and company policies is not just about compliance—it’s about building trust and credibility with employees. A fair and transparent investigation process can have a significant advantage for the organization, helping to maintain employee morale and positive labor relations even in challenging circumstances.
The outcome of an investigation should be based on a careful evaluation of all evidence and circumstances. When wrongdoing or policy violations are identified, the investigation team should recommend appropriate corrective action. This might include changes to company policies, additional training, or other measures designed to prevent similar incidents in the future. By focusing on fair outcomes and continuous improvement, HR investigations can lead to stronger labor relations and a more positive workplace culture.
Ultimately, well-conducted workplace investigations demonstrate an organization’s commitment to fairness, justice, and the well-being of its employees. By developing new skills, staying informed about employment laws, and refining investigation practices, HR professionals can ensure that every investigation not only resolves the immediate issue but also contributes to a healthier, more productive work environment. This proactive approach to employee relations and labor relations is key to building a resilient organization where employees feel valued, heard, and protected.
