Conducting Internal Hr Investigations: Pitfalls And Considerations

Bridget Hawkins, Director of HR Compliance and Employee Relations, Hood Container

Conducting an internal human resources (HR) investigation is a delicate and often challenging task, especially when the investigator must examine the actions of colleagues. These situations demand not only technical knowledge but also a high degree of professionalism, impartiality, and empathy to ensure the process is fair and credible. To navigate this sensitive process successfully, it is crucial to understand the potential pitfalls and key considerations involved.

Avoiding Bias and Conflicts of Interest

One of the most significant challenges is managing personal biases and relationships. As the investigator, you may have pre-existing professional or personal connections with those involved in the investigation. Such relationships can unconsciously influence how evidence is interpreted or how individuals are treated, whether positively or negatively. To mitigate this risk, maintain a mindset of objectivity and impartiality throughout the process. If impartiality cannot be guaranteed, it may be wise to involve a neutral third party or external investigator.

Expert Tip: Always give the accused person an opportunity to defend themselves, even if the evidence appears overwhelming

Building Rapport

Having some personal knowledge of the individuals involved can be advantageous in building rapport and trust early in the interview process. This can be especially true if you have established a reputation for being objective and knowledgeable as an investigator. A certain degree of familiarity may provide some initial comfort, leading to a less contentious interview.

While there may be some awkwardness, having a personal connection can allow for a more direct line of questioning. Furthermore, maintaining control of the interview puts more pressure on the individual to be forthcoming. However, it is important to remember that a person’s career or reputation may be at stake, which could cause them to act out of character, including being dishonest.

Expert Tip: Check your assumptions at the door. Approach all investigations with an open mind. Be curious

Maintaining Confidentiality

Confidentiality is another critical aspect of internal investigations. Mishandling sensitive information can damage employee trust, harm workplace morale, and even expose the organization to legal risks. Information should only be shared on a strictly need-to-know basis, and supervisors involved should be reminded of their obligation to respect confidentiality. Using secure communication channels and properly safeguarding investigation records are essential for maintaining confidentiality.

Expert Tip: Asking hourly employees to maintain confidentiality could violate the National Labor Relations Act provisions regarding confidentiality and non-disparagement.

Understanding Policies and Legal Requirements

A lack of familiarity with company policies and relevant employment laws can undermine the credibility and effectiveness of an investigation. Investigators must have a thorough understanding of organizational guidelines, such as anti-discrimination policies, harassment protocols, and codes of conduct. Additionally, awareness of applicable labor laws and regulations is critical to ensuring the investigation complies with legal standards and protects the rights of all parties involved.

Expert Tip: Consult with legal counsel or seek a second opinion to clarify complex issues.

Effective Communication

Sensitive conversations are a central component of any HR investigation. It is essential to approach interviews and discussions with empathy, professionalism, and active listening. Establishing a neutral and supportive tone encourages openness and cooperation from witnesses and involved parties. Poor communication can lead to misunderstandings, hinder information gathering, and exacerbate workplace tension.

Using an aggressive, law-enforcement-style approach is generally inappropriate in workplace settings—HR investigations are not criminal investigations.

Expert Tip: In some situations, it may be helpful to ask the accused employee’s supervisor to participate in their interview. This allows the supervisor to hear the questions and the responses, ensuring transparency and reducing concerns about fairness. Not surprisingly, most supervisors want to protect their employees, and their presence can help bring credibility to the investigation process.

Thorough Documentation

Documentation is vital for transparency and accountability. Every step of the investigation should be carefully recorded, including interviews, evidence collection, and key decisions. Detailed records not only support the credibility of the findings but also serve as a valuable reference if the case is later scrutinized by legal or regulatory bodies. Ensure that all documentation is clear, accurate, and securely stored.

Recommendations: Balancing Fairness and Decisiveness

An investigator must balance fairness with decisiveness. This means evaluating evidence impartially, considering all perspectives, and avoiding premature conclusions. It is essential to distinguish between factual evidence and opinion while being willing to present both transparently. Often, there is no “smoking gun,” so investigators must follow the evidence they obtain.

Prolonging an investigation unnecessarily or pursuing irrelevant details can increase workplace disruption and uncertainty. The goal is to make timely, well-informed decisions based on the evidence gathered.

Conclusion

Conducting an internal HR investigation involving colleagues requires a careful blend of objectivity, professionalism, and attention to detail. By understanding and addressing potential pitfalls—such as bias, confidentiality breaches, and legal missteps—investigators can foster a fair and respectful process. Ultimately, a well-conducted investigation not only resolves workplace issues but also reinforces trust and integrity within the organization.

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