Utilizing A Proven Process When Conducting Sensitive, Internal Investigations

An internal investigation is a formal inquiry to determine whether workplace policies or regulatory practices have been violated. Studies can follow a:

• a complaint
• allegation
• suspicion of misconduct
• fraud
• harassment accusations
• or many other reasons covered by federal, state, and local employment laws.

The goal of any internal investigation is to obtain a straightforward view of the facts:

• what happened
• when it happened
• who was responsible
• who may have been harmed
• What actions may be necessary to prevent the alleged wrongdoing from reoccurring

Internal investigations assist organizations in gathering information, fashioning defenses, and crafting remedies. Specifically, internal investigations are useful for organizations to identify where there is a need for remediation. 
The final investigative report should include:

• The incident investigated, with the dates
• The individuals involved
• Key factual findings
• Applicable employer policies 
• Interviewees’ statements
• Conclusions
• Issues that couldn't be resolved
• Employers follow up action

It’s critical to investigate an allegation quickly. Stretching an investigation out over a lengthy period tells employees the alleged misconduct isn’t important. As time goes by, it becomes more difficult to collect evidence and get witnesses to talk, details are forgotten and documents disappear. 
And if the organization terminates or disciplines an employee and that person files a lawsuit or complaint the investigation report will be critical in protecting the company in court. While every complaint is unique, having a well-defined, consistent process in place can ward off future lawsuits.

• Recognizing the Situations Where an Internal Investigation May be Warranted
• Our Role When Conducting Investigations
• Information to Obtain to Determine the Best Approach to the Investigation
• Determining Who Should Be Interviewed
• Utilizing an Introductory Interview Guide 
• Following a Proven Interview Methodology
• Utilizing an Investigatory Interview Questionnaire
• Closing the Interviews
• Preparing an Investigatory Findings Report

Internal investigations are fact-finding initiatives carried out to uncover the truth about alleged misconduct. This must be done without compromising the employee relationship or unnecessarily damaging anyone's reputation. All of which require planning, consistent execution, analytical skills, and an understanding of the legalities involved.
Employers are legally mandated to investigate harassment, discrimination, retaliation, safety, and certain other types of complaints. Good investigators first create a plan that includes:

• What is the objective?
• Who will be interviewed?
• What will be investigated?
• What evidence needs to be collected? 

Workplace investigations are crucial when establishing a safe and welcoming work environment. However, these investigations are often complex and can involve navigating sensitive topics and disputes.
A poorly conducted internal investigation can cost a company financially and damage its reputation, not to mention the importance of the person tasked with overseeing such a probe. Some of the common mistakes made include:

• Failing to plan
• Delaying an investigation
• Not remaining objective
• Using aggressive interviewing tactics
• Not conducting a thorough investigation
• Failing to reach a conclusion with a written report

Conducting workplace investigations is one of the most challenging duties that HR professionals and other managers have to face due to today’s workforce demographics, new employment laws, employees being more aware of their rights – a quagmire of potential landmines - and many managers not trained to do so.
Employers must demonstrate fairness when conducting workplace investigations. and investigations should be thorough and well-documented before an employer takes any action. Additionally, effective workplace investigations need to be guided by the following principles:

• Neutrality and other personnel involved in an investigation must be detached from an incident, remain objective, have no personal stake in the outcome, and give all employees involved the opportunity to provide their version of the incidents.
• Thoroughness-To ensure that the proper decision is made investigators must be thorough in uncovering all the necessary information while asking detailed questions during interviews
• Timeliness- Once an investigation is triggered, investigators must act promptly to avoid further acts of wrongdoing with any disciplinary action administered in a timely manner to avoid legal issues.

• HR Managers and any other line Manager or Leader

Pete Tosh is the Founder of The Focus Group, a management consulting and training firm that assists organizations in sustaining profitable growth through four core disciplines:

• Implementing Strategic HR Initiatives
• Maximizing Leadership Effectiveness
• Strategic Planning
• Enhancing Customer Loyalty

The Focus Group has provided these consulting and training services to manufacturing and service organizations across the U.S., Canada, Europe, and the Middle East. Pete has worked closely with the leadership teams of organizations such as Exxon, Brinks, EMC, State Farm, Marriott, N.C.I. YKK and Freddie Mac

Pete holds a B.A. degree in Psychology from Emory and Henry University and Masters degrees in both Business Administration and Industrial Psychology from Virginia Commonwealth University. Pete also co-authors Leading Your Organization to the Next Level: the Core Disciplines of Sustained Profitable Growth.