HR Investigations:

WHEN & HOW TO CONDUCT A WORKPLACE INVESTIGATION: A DEFINITIVE GUIDE

Written by Ryan P. Collins, MBA, PHR, SHRM-CP

In the event of a complaint by an employee, an investigation is typically initiated, and it is the responsibility of the company to determine if any action needs to be taken. The seriousness and promptness with which managers respond to the complaint can significantly impact the success of the investigation. Handling an HR investigation with sensitivity is crucial, as mishandling it can potentially lead to lawsuits and costs for the company.

Synergy Group offers assistance to companies conducting HR investigations by minimizing their administrative burden and providing a convenient way to store all relevant information. With Synergy Group's support, businesses can achieve faster turnaround times by enabling employees to focus on their work responsibilities and easily delegate tasks. This ensures that individuals involved in the case only have access to the data for which they are responsible, resulting in a smoother investigation process. For help with your HR investigation, please contact us now!

When an HR Investigation May Be Necessary

1.   Discrimination

Employees may sometimes be unclear about what constitutes discrimination. It is possible for someone to argue that they were treated differently or reported due to their attire. However, if the code of conduct clearly specifies formal workwear and employees fail to comply, this would not be considered discrimination by the company but rather non-compliance by the employees. Discrimination would occur if the code of conduct fails to accommodate people's religions, cultures, or races. For instance, if the dress code or a specific management request required a Muslim woman to remove her hijab.

Another example of discrimination could involve a team singling out a staff member based on their sexual orientation and excluding them from lunches and outings. In the United States, discrimination based on race, color, religion, sex (including gender identity, sexual orientation, and pregnancy), national origin, age (40 or older), disability, or genetic information, is illegal according to the laws enforced by the Equal Employment Opportunity Commission (EEOC). It is also unlawful to retaliate against an individual for complaining about discrimination, filing a charge of discrimination, or participating in an employment discrimination investigation or lawsuit.

2.   Bullying

Bullying is a prevalent issue that often leads to HR investigations. It involves repeated mistreatment of employees with the intent to cause them harm, either physically or psychologically. This mistreatment is persistent and specifically targeted at one individual, driven by various factors such as their socioeconomic background. An example of workplace bullying is aggressive behavior towards a colleague, which may include offensive language and destructive criticism. The consequences of bullying can be severe, resulting in anxiety, panic attacks, low self-esteem, and depression for the victim.

Employers must give due attention to bullying complaints and conduct thorough HR investigations, as the behavior not only adversely affects the well-being of staff but also poses a threat to their overall welfare. When addressing concerns about an employee's performance, it is important to do so privately, politely, and honestly, while also providing constructive suggestions for improvement. This approach ensures that the employee does not feel attacked or humiliated.

3.   Health and Safety

A worker may raise concerns with HR regarding health and safety issues in the workplace, which would necessitate conducting an incident investigation. It is crucial for organizations to have a procedure outlining the steps employees should take if they identify a hazard, as an unsafe work environment can potentially lead to injuries. Failure to report such hazards could result in a near-miss or an incident that poses harm to staff members.

A near-miss refers to an unplanned event that has not caused immediate damage but has the potential to harm employees in the future. On the other hand, an incident is an unplanned event that has resulted in negative consequences, such as property damage, employee health problems, or even a fatal accident.

4.   Harassment

Harassment encompasses a broader scope beyond mere bullying and discrimination. It includes sexual and threatening behavior, which is distinct from bullying in that it doesn't necessarily have to be persistent. Even a single instance of harassment warrants reporting to HR for investigation. For instance, unwelcome and nonconsensual touching of private areas constitutes sexual harassment, leaving victims with emotions like anger, discomfort, and annoyance due to the violation of personal boundaries and space.

It's crucial for HR to meticulously investigate such incidents, as they could potentially escalate into legal cases. Listening to and supporting victims to step forward is vital for the company to take corrective measures and deter such misconduct. Shockingly, an audit conducted by The Guardian revealed that one in eight women in emergency services has encountered sexual harassment. Such behavior tends to be more prevalent in male-dominated workplaces, with suggestive comments ranking among the most common forms of harassment with varying natures.

What is involved in an HR investigation?

Once a complaint is filed, the company must designate an investigator. To ensure a fair HR investigation, the organization should provide appropriate training to the team, enabling employees to feel heard and comfortable. This prevents the perception of bias within the HR team, ensuring actions taken are not solely in the company's interest. The crux of an effective HR investigation lies in its fairness. Properly trained teams or external investigative firms ensure impartiality, boosting employee trust.

Interviews must be conducted with all relevant parties to comprehend the incident and determine preventive measures against unethical or illegal behavior in the future. Prioritizing primary parties for questioning, followed by eyewitnesses, maintains order. Investigators should also request any physical evidence, like messages, emails, or CCTV footage, supporting the claims.

After evaluating the findings, the investigator may reach three potential conclusions: confirming the incident, disproving it, or deeming the investigation inconclusive. In health and safety inquiries, findings could reveal the non-existence of a hazard or suggest minor changes to mitigate risks.

Subsequently, the company determines the resolution, which might involve further training, a formal apology, or the dismissal of an individual. It's vital to keep all involved parties informed at each step, ensuring transparency in how the business manages the case.

Simplify Your Investigations

We at Synergy Group understand the nuances of HR investigations. Our streamlined approach reduces administrative burdens and ensures confidentiality. Our systems enable easy access to relevant information, facilitating quicker turnaround times and informed decision-making.

Empower Your Workplace

Looking for a confidential and efficient HR investigation process? Synergy Group streamlines investigations, empowering businesses to access information effortlessly and manage cases effectively. Let's collaborate to create a robust and fair workplace environment. Navigating HR investigations isn't just about process—it's about fostering a workplace that values integrity, respect, and fairness. Join us at Synergy Group in creating workplaces where everyone thrives.