Tips for Conducting a Workplace Harassment Investigation

When workplace harassment issues arise, it’s important that they are investigated and resolved fairly and completely. HR professionals often lead these investigations, but it’s important to follow a clear process. Here are some practical tips to ensure the investigation is thorough and objective.

When to Investigate

A formal investigation is necessary when there is a serious risk of harm to individuals or the organization itself. This could include the threat of lawsuits, public relations issues, or workplace violence. An investigation is also required when there are potential violations of the organization’s policies or laws.

Who Should Lead the Investigation?

Who conducts the investigation depends on the circumstances. HR professionals often lead these investigations, but if greater independence is needed, it may be appropriate to bring in an external investigator. Legal counsel may also conduct an investigation, although this could affect their ability to represent the organization in subsequent litigation.

Things to Consider Before Starting

Here are a few key steps:

• Confidentiality: Remind everyone involved about the importance of confidentiality and the risks of interfering with the process, including reprisals.
• Workplace Adjustments: If the complainant and respondent can’t work together during the investigation, consider temporary changes, like altering workspaces or allowing remote work.
• Check Organization’s Policies: Make sure you’re familiar with any organization-specific policies that guide the investigation process so that the investigation aligns with those policies.

Conducting the Investigation

• Interview Process: Ideally, two people should attend each interview—one to ask questions and the other to take notes. Start by interviewing the complainant, followed by the respondent, and then witnesses. Make sure the respondent has the chance to respond after all others have been interviewed.
• Written Statements: If witnesses prefer to submit written statements, ensure they are signed and dated to maintain a clear record.
• Ongoing Evidence: Let all parties know they can provide additional information if they recall something relevant after their interviews.

Writing the Investigation Report

After all interviews have been completed, the investigator should prepare a report. The report should:

• Summarize the situation and key findings.
• Evaluate the credibility of witnesses and their statements.
• Provide conclusions based on the evidence and, if needed, offer recommendations for moving forward.

Generally, the full report will not be shared with the parties involved unless it is required for legal proceedings. However, the conclusions and any necessary next steps can be shared with the complainant and respondent to keep them informed.

Recommendations

Depending on the issue, your recommendations may vary. Some options might include:

• Direct discussions between the parties
• Mediation or conflict resolution sessions
• Staff training on relevant topics
• Moving an employee to a different role or location
• Offering apologies or counselling
• Disciplinary action, such as termination (with or without cause)

Key Principles for a Smooth Investigation

1. Confidentiality: Keep everything confidential throughout the process.
2. Impartiality: Stay neutral and avoid jumping to conclusions until you’ve reviewed all the evidence.
3. Follow a Clear Process: Follow your organization’s policies and procedures to ensure the investigation is conducted consistently.
4. Give Everyone a Voice: Ensure all involved parties have the chance to explain their side of the story.
5. Respondent’s Right to Reply: Make sure the respondent has the opportunity to address all allegations made against them.

By following these principles, HR professionals can conduct investigations that are fair, transparent and in the best interests of employees and the organization.