How to handle an HR Investigation

The first step in any HR investigation is to gather initial information and determine the scope of the investigation. This involves identifying the nature of the complaint or issue, the parties involved, and any potential witnesses.

It is essential to act promptly to prevent escalation and to preserve evidence. The scope of the investigation should be clearly defined to ensure that all relevant aspects are covered without overstepping boundaries. The employee under investigation should be given a copy of the organisation’s disciplinary procedure and made aware of all relevant policies.  

Conducting interviews

Interviews with employees and witnesses are a cornerstone of the investigation process. It is crucial to approach these interviews with impartiality and confidentiality. Investigators should have no conflicts of interest and conduct investigations without any preconceived assumptions.

Investigators should prepare a list of open-ended questions designed to elicit detailed responses from interviewees. It is important to avoid asking leading questions that may bias the outcome.

Ensuring confidentiality encourages interviewees to be honest and protects the privacy of those involved. It is also important to document interviews accurately, noting both verbal and non-verbal cues.

Documenting findings

Throughout the investigation, meticulous record-keeping is vital. All findings, including interview notes, evidence collected, and any correspondence, should be documented systematically. This documentation will be used in the final report and may be required for legal compliance. Maintaining organised records also facilitates transparency and accountability in the investigation process.

Follow-up

Prepare a report that objectively summarises the findings and provides recommendations based on the evidence. It is important to implement any necessary actions or changes to prevent future issues, such as policy updates or training sessions.

A detailed record should be kept of any action taken post-interviews , which will help an organisation demonstrate that it has upheld its obligations and followed due process. Provide support as necessary to employees involved in the investigation, including access to counselling services if appropriate. 

Concluding the investigation

Upon concluding the investigation, a comprehensive summary report should be prepared. This report should summarise the proceedings, the findings, outline the evidence considered, any follow-up action, and recommendations. Recommendations may include disciplinary measures, policy revisions, or training initiatives. The report should be reviewed by senior management and legal advisors before any action is taken.

Preventing future issues

To prevent future issues, organisations should focus on fostering a positive workplace culture. This can be achieved through regular training on company policies, promoting open communication, and encouraging employees to report concerns without fear of retaliation.

Implementing clear policies and procedures for handling complaints can also deter misconduct and reinforce a culture of integrity. It is important to conduct regular training and keep detailed records of the training that staff have undergone. This will be important in demonstrating that an organisation has upheld their legal obligations.

Get in touch

For help and advice on conducting HR investigations, HR policies and procedures, or other employment law issues, please get in touch with a member of our employment team by emailing employmentteam@salaw.com