How to Conduct a Successful Workplace Investigation: Step-by-Step

The ultimate guide of effective investigation techniques for conducting a fair and successful workplace investigation

The CEO and two other executives of Honolulu's Bishop Museum were recently terminated after a long investigation into the museum's working conditions. After speaking to dozens of current and former employees, the investigation concluded that the workplace was unhealthy and failed to address employees' concerns and issues. Workplace investigations like these should be thorough, efficient, and thoughtful, as their conclusions impact many people's lives. An ineffective investigation (or failing to conduct one at all) puts employees at risk and gives your company the reputation of being a toxic, unethical workplace. Many HR, compliance, and security investigators don't receive targeted training on how to conduct a workplace investigation from start to finish. Training may cover investigation planning, conducting interviews, gathering evidence, and other aspects of the investigative process, but often doesn't provide a thorough approach for a full investigation. So, what are the steps in the investigation process? This article will take you from the initial report or complaint to the conclusion and final investigation report, with examples and guidance to ensure your investigation follows best practices.

Decide to Investigate

When your company receives a complaint or report of wrongdoing via hotline, web form, or other avenue, you're obligated to take the report seriously and act on it quickly. This is one of the most critical steps in learning how to write an investigative report. Depending on the type of allegation, there may be regulations that govern how the complaint is handled and the timeline for the workplace investigation and resolution (such as a data breach). So, it's important to have a procedure in place for receiving and triaging reports. If the allegation warrants it, you may need to take immediate action, such as separating the reporter and alleged bad actor, speaking to them individually, or referring them for counselling, mediation, or both. Allegations of harassment, and sexual harassment, in particular, require sensitive handling and possibly immediate removal of one or both parties to another location. First, decide whether the report justifies a workplace investigation. This decision cannot be taken lightly. Failure to investigate misconduct that should be examined can have dire consequences for the company, from reputation damage to a lawsuit. Assuming the decision is made to investigate the report, you should have protocols for how to conduct an investigation, including a method for choosing the investigator, assigning the case, and tracking and reporting on the investigation. If you decide not to investigate, this decision needs to be documented thoroughly. State the reasons for the decision and ensure they are defensible. Assume your choice will be questioned and make sure you have valid grounds.  

Choose an Investigator

Next, you'll need to decide whether to use an in-house or outside investigator for your workplace investigation. There are many factors to consider in this decision. You may need an investigator with specific skills, experience, or legal knowledge that are unavailable in-house. You may have concerns related to perceived bias or even actual bias that would pose a risk when using a company investigator. Depending on the type of investigation, you may need to consider the gender of the investigator (in a sexual harassment investigation, for example). Suppose your workplace investigation covers multiple locations, cities, or countries. In that case, you might need to use resources in another country, someone who speaks a particular language, or someone with local knowledge. The bottom line is that you'll need to choose an impartial investigator with the skills, knowledge, access, and experience required by the case.

Plan the Workplace Investigation

During the planning phase, you'll need to determine the scope of the investigation. To do so, ask:

 
• What exactly are you investigating?
 
• Is it a code of conduct violation, a possible criminal violation?  
 
• Are there privacy issues involved?
 
• Are there other incidents or issues related to the complaint that need to be triaged?

 Creating an investigation plan helps you avoid one of the most extensive investigation mistakes: scope creep. Proper planning helps you to focus on the allegation or incident being investigated and ensures that your workplace investigation stays on course. As part of the planning, you'll also need to decide who needs to be interviewed, where, when, and in what order. You may need to conduct research and ask some initial questions to compile a list of the individuals involved and determine interview subjects.  

Conduct Research

To gather information on the involved parties, look to online sources such as social media or even a simple search of their name. Do some digging into the backgrounds of your interview subjects to learn about them so you can build rapport. For example, if your subject tweets about the New York Yankees, you know the person is interested in baseball. You can use this information to ease into the interview with some casual chat about the sport. Be cognizant of how this preliminary digging may contribute to pre-judging people, resulting in a biased interview and investigation, and make a conscious effort to avoid this. (Bias check: consciously disregard background knowledge gleaned from the internet when assessing a subject's credibility or character during the interview).