Many HR, compliance and security investigators don’t receive targeted training on how to conduct an investigation from start to finish. Training may cover investigation planning, conducting interviews, gathering evidence and other aspects of the investigative process, but most often doesn’t provide an overall blueprint for conducting an entire workplace investigation.
A successful workplace investigation starts with a plan. Download the free Investigation Plan Template.
This step-by-step article will take you from the initial report of misconduct to the conclusion and final investigation report, with examples and guidance to ensure your investigation follows best practices.
Initial Report and Deciding Whether to Conduct a Workplace Investigation
The first decision to be made is whether the report warrants an investigation, and this cannot be taken lightly. Failure to investigate misconduct that should be investigated can have dire consequences for the company.
Do You Need to Take Immediate Action?
If the allegation warrants it, you may need to take immediate action, such as separating the parties to the complaint, speaking to them individually or referring them for counselling, mediation or both. Allegations of harassment, or sexual harassment in particular, require sensitive handling and possibly immediate removal of one or both parties to another location.
Assuming the decision is made to investigate the report, there should be 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 to decline to investigate and ensure they are defensible. Assume your decision will be questioned and make sure you have valid grounds.
Learn more about the initial report and first steps in the short video below.
Choosing an Investigator
Choosing an investigator isn’t always straightforward. Learn what you need to consider in this free cheat sheet: How to Choose an Investigator for a Workplace Investigation.
Depending on the type of investigation, you may need to consider the gender of the investigator (in a sexual harassment investigation, for example). If your workplace investigation covers multiple locations, cities or countries, you may need to consider using resources in another country, someone who speaks a particular language or someone who has local knowledge.
The bottom line is that you’ll need to choose an impartial investigator who has the skills, knowledge, access and experience required by the case.
Planning the Workplace Investigation
Creating an investigation plan helps you to avoid one of the biggest 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.
To learn how to create an effective investigation plan, download the free Investigation Plan Template.
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 some research and ask some initial questions in order to gather a list of involved parties and determine interview subjects.
You may also want to conduct some internet research at this stage. Do some digging into the backgrounds of your interview subjects to find out a bit about them so that you can build rapport easily. For example, if you find that your subject tweets a lot about the Toronto Blue Jays, you know he or she is interested in baseball. You can use this information to ease into the interview with some casual chat about baseball. Be careful to recognize how doing this preliminary digging can contribute to pre-judging people, resulting in a biased interview and investigation and make a conscious effort to avoid this.
(Bias check: make a conscious effort to disregard background knowledge gleaned from the internet when assessing a subject’s credibility or character during the interview).
Do you know what questions to ask? Download the cheat sheet: Top 20 Questions to Ask in an Investigation Interview.
The first step in conducting interviews is contacting the interview subjects and setting up times and places. To put your interview subjects at ease and increase your chances of getting them to communicate openly it’s a good idea to:
- Choose an interview location that is neutral and private
- Be flexible with scheduling to accommodate the interview subject
- Refer to the interview as “a chat about what happened” rather than an investigative interview
- Remove distractions, such as photos or decorations, from the interview location
- Explain up-front exactly what the interview is about and why
- Built rapport with the interview subject before launching into questions
- Offer water and/or coffee to keep the subject hydrated and alert
When deciding the order of interviews, consider the flow of information, or the order of the story, you need to collect.
- First, interview the person who made the report. If there are others named in the report, interview them too.
- Next, interview any witnesses to the incident or allegation. This can sometimes lead to more witnesses being identified, and you should interview them as well at this stage.
- Finally, interview the subject of the report or allegation.
For more information on conducting workplace investigation interviews, watch this short Q&A with Meric Bloch.
To Record or Not to Record the Investigation Interview
One advantage of recording interviews is that a recording leaves no doubt about the ethics of the interviewer and the quality of the questioning. It also removes the temptation to interpret what the subject is saying, providing the subject’s exact words for direct quotes in the investigation report.
Gathering and Documenting Evidence
All physical evidence must be stored securely and logged. Digital evidence needs to be authenticated, captured, preserved and stored somewhere as well. If you’re using a case management system for your investigations, you can upload your digital evidence directly into the case file, where it will be secure, organized and accessible.
It’s important to follow best practices for chain of custody when securing evidence. Chain of custody is a way of documenting evidence that shows the seizure, custody, control, transfer, storage and analysis of a piece of evidence. It’s a mechanism to record everything that was done to a piece of evidence to ensure its integrity and prove that it hasn’t been tampered with.
Don’t let valuable evidence slip through the cracks. Download the free Chain of Custody Template to ensure all your evidence is tracked and protected.
Consider every piece of evidence and how it contributes to the narrative of what happened. Remember that your job is simply to find out the truth, and weigh each piece of evidence against this requirement. There are many types of evidence and each one can contribute to a successful workplace investigation.
Wondering how to document evidence in your report and what should be documented? Watch the short video below.
Reaching a Conclusion
A workplace investigation that is deemed to be inconclusive is a failed investigation. If you can’t come to a conclusion, consider conducting more interviews, gathering more evidence and going back over the interviews and evidence already gathered.
Based on the conclusion you reach in your investigation the company must decide whether or not to take action.
Action could include:
- Disciplinary action against an employee
- Suspension of an employee
- Counselling or professional assessment of an employee
- Mediation between or among employees
- Termination of an employee
- Involving law enforcement in a criminal action
- Accommodation in the workplace
If the company decides to not take any action, this should be documented, along with the reasons.
Writing the Investigation Report
The best, most comprehensive, fair and timely workplace investigation is worthless without the documentation to prove that the investigation was comprehensive, fair and timely. At each stage of the investigation steps should be documented, but the final product, the investigation report, is the summary of all the steps, interviews, evidence and conclusions drawn. It’s the final product and may be read by many different audiences, therefore it must be clear, accurate, succinct and credible.
Learn how to write an investigation report that is clear, professional and leaves nothing to chance. Read The Ultimate Guide to Writing Investigation Reports.
Get more tips on investigation report writing in the short video below.
Analyzing Investigation Data
In order to reduce the number of incidents and investigations, companies must be continually evaluating and analyzing their risk. They can do this by aggregating and studying their investigation data to determine:
- areas where problems are occurring the most frequently
- the types of problems that are occurring in the organization
- what measures can be put in place to reduce them
This is where case management software can really deliver ROI, by providing myriad options for visualizing data in a way that is meaningful to the organization.
Want to learn more about using case management software to manage your workplace investigations? Book a Demo of i-Sight.
Once an investigation has been completed, documented and resolved, you’d think the company can now close the book and move on. But that’s not necessarily the case. It’s important to follow up after the investigation to gauge the effect that any actions have had on those involved in the investigation and others affected.
Follow-up also includes looking at any changes that were implemented as a result of data analysis and whether these changes are having an effect on the issues and incidents being investigated. This step should be continual and will put the company in a good position to anticipate and manage risk and spot trends before they become problems.