10 key pitfalls that undermine workplace investigations

Mishandled workplace investigations can paralyze HR departments and leave companies on precariously thin legal ice.

Without adherence to clear guidelines and best practices, probes meant to provide answers can instead raise more questions, undermine employment relationships and open organizations to costly legal liabilities.

Avoiding key pitfalls can be the difference between an investigation that is fair, defensible, and protects workplace culture versus one that exacerbates problems. Here are 10 vital mistakes HR should steer clear of when tasked with investigating suspected policy breaches, employee conflicts, or harassment claims:

1. Choosing the wrong investigator: HR should recuse themselves if the issue is too complex or they have a personal relationship with the parties involved. Assign the investigation to an individual who is both qualified and free from bias.
2. Delaying the investigation: Act promptly to acknowledge the complaint in writing and put in place any necessary interim measures. Collect evidence while’s people’s memories are still fresh and aim to finish the investigation within 90 days (whenever possible).
3. Ignoring anonymous complaints: Employers are required to investigate complaints, even if the complainant remains anonymous.
4. Not communicating: Even if the employee is away, it is important to keep their rights and obligations in mind. Ensure the employee is informed, in a timely manner and in writing, of the circumstances giving rise to the investigation, details of the allegations, opportunities to respond, and the consequences of failing to participate in the investigation.
5. Failing to properly document the investigation: Detailed documentation should be kept of all interviews, findings, analysis, decisions, and next steps. Without documentation, it is hard to demonstrate the process was fair and appropriate.
6. Asking leading questions: Investigators should remain neutral and objective. Asking leading questions that steer the witness can undermine the credibility of the findings. Use open-ended questions.
7. Not following own policies: Ensure compliance with company policies, handbooks, contracts, and legal obligations. Straying from official guidelines weakens the process and conclusions.
8. Ignoring conflicts of interest: Address any real or perceived conflicts of interest upfront. Even subtle ties can cast doubts and influence the investigation.
9. Failing to come to a conclusion: The final investigation report must have clear conclusions based on the factual findings. Avoid vague language around systemic issues found or corrective actions needed.
10. Failing to protect against retaliation: Employers must make clear that they will not tolerate any blowback against people who report wrongdoing or participate in investigations. Check in with parties regularly through the course of the investigation, and after, to determine if retaliation has occurred. If so, address the issue as soon as possible.

To ensure above-board findings, tread carefully and investigate by the book.