Planning and prevention are your organization’s first defense against an HR investigation. But in the event that a complaint does arise, it is critical to ensure that your investigation is compliant. 

Regardless of whether you’re conducting the investigation or bringing in an external investigator, you need to know what to do after receiving a complaint. By following these 5 steps, you can ensure your investigation is thorough, unbiased and compliant:

1. Act quickly

When you receive a complaint, you should address it as soon as possible. By doing so, your organization can benefit from:

• Reduced organizational, reputational and financial risk. 

The City of Calgary was ordered to pay a substantial sum to an employee following a series of sexual assaults in the workplace. The City later acknowledged that they failed to respond to the complaint in a timely (and appropriate) fashion. There’s plenty they could have done to protect their image in this case, you can read more about it here.

• Increased likelihood of uncovering the truth

The longer the time between the complaint and the investigation, the higher the risk of memories of the events fading or collusion of stories.

• Decreased risk of further incidents

The behaviour will most likely continue, creating further workplace issues and a potentially toxic workplace.

• Decreased risk of rumours and retaliatory behaviour.

2. Document the complaint

Any complaint should be documented in writing. If the initial complaint was made verbally, the employee should be advised to submit a written complaint.

The following information and documents should be collected:

• Copies of relevant policies and procedures
• Documentation regarding relevant past behaviour or discipline
• Notes from the interviews conducted
• Performance or safety records, if applicable
• Data from company-owned mobile devices, including the email and internet browser history of those involved (situation dependent)

This information may take time to gather. Starting the collection process as soon as the complaint comes in will assist investigators. Ultimately, it will help to speed up the HR investigation process.

3. Determine who needs to be interviewed

Once you have received the written complaint, you should identify who needs to be interviewed. 

Keep the following factors in mind:

• The investigation should be kept as narrow as possible, while still being thorough. 

For confidentiality reasons, you only want to interview those with direct knowledge of the situation. It is better to start with fewer interviewees and add later if required.

• Identify the role each person has in the investigation.

To eliminate unnecessary interviews, speak with those who you believe will make a relevant contribution first (eye witness account, managers’ assessment of historical behaviour, etc). 

As a starting point, you should consider speaking with:

• The complainant; and 
• Anyone directly named in the complaint.

4. Communicate with those involved

In many cases, the employees involved in the investigation will feel distressed and vulnerable. This is true for the complainant, the respondent, and any witnesses. 

Effective communication is essential to:

• Let the complainant know their complaint is being taken seriously. 
• Reassure the complainant that their complaint will be addressed as quickly as possible.
• Confirm that no assessment of the complaint’s validity will be made until after the investigation is complete.
• Refer to any employee who appears distressed to your EFAP and make them aware of any other resources available to them.

Depending on the nature of the complaint, you might also take steps to: 

• Remove employees from any situation(s) they may perceive as threatening; or 
• Place the complainant, the respondent, or both on administrative leave for the course of the investigation. 

5. Choose an Investigator

Your organization must choose to hire an external investigator or conduct an internal HR investigation. 

Your answers to the questions below will help you determine whether you should hire an external investigator. If you answer yes to any of these questions, an external investigator is likely your best option:

• Is it likely that anyone internal or external to the company might question the investigator’s ability or experience?
• Are there any real or perceived conflict of interest between those being investigated and the internal investigator(s)?
• Is there a chance that someone would query the investigator’s ability to be impartial and unbiased?
• Are either the complainant or the respondent in a senior or otherwise influential role relative to your investigator?
• Is it likely that the complaint would be made public or otherwise have the potential to impact your organization’s reputation?
• Is it likely that the issue will result in legal action?
• Do you need the investigation protected under legal privilege?
• Is it likely that an employee would face termination if the allegations are founded?
• Is the nature of the complaint due to a protected status under the Human Rights Act?

Electing an External Investigator for your HR Investigation

When deciding which external investigator to use:

• Ensure the investigator (or the company they work for) is licensed to conduct investigations under the Province of Alberta Solicitor General.
• Look for investigators that specialize in workplace investigations. 
• Choose a reputable company where investigations are the main offering and where the investigators are experienced.
• If you believe that legal action may ensue, ensure the investigator is willing to appear in court to defend the investigation before hiring them.

For a checklist version of this blog please send an email to info@activatehr.ca with “Investigation Preparation” in the subject line and don’t forget to follow us on Linked In.

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