The Top 5 Mistakes HR makes in handling Internal Investigations

Presented by: Natalie Ivey, MBA, SPHR

Author of How to Conduct Internal Investigations:

A Practical Guide for Human Resource Professionals  

The Top 5 Mistakes #1: Handling employee issues that HR doesn’t

“own”, but supervisors and managers do #2: Handling internal investigations without

having the proper training #3: Not having recognized authority to conduct

a proper investigation #4: Calling witnesses in, one after the other, for

interviews—without looking for physical or documentary evidence, first

#5: Failing to properly document the investigative process and prepare a written report

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#1: Handling the right issues •  HR needs to focus on issues that can create

liability for an organization—not on handling employee drama and departmental issues

•  If the issue at hand isn’t a policy violation (e.g. anti-harassment) a procedural violation (such as a safety rule), or a legal matter (such as theft, workplace violence, etc.—it ISN’T HR’s issue to own—it’s Leadership’s issue

•  These three key words define what HR owns: –  POLICY –  PROCEDURE –  LAW

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Stop handling employee drama!!!!

#2: Handling internal investigations without having the proper training

•  Without proper training, HR professionals can create even more liability for an organization

•  HR professionals can also be personally liable for their own negligence!

•  Failing to take prompt, interim action after a complain…failing to properly document allegations…failing to properly gather and preserve evidence…failing to prepare a written investigative report…failing to handling post-investigative issues such as retaliation…the list goes on!

•  To get the proper training, go to www.HR-investigations.com to learn more about getting the right training

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#3: Not having recognized authority to conduct a proper investigation

•  HR is often thrown into the role of being “investigator” without anyone else knowing what that means…

•  Turf wars emerge…department heads push back when HR asks to talk with employees…and investigations are fraught with obstacles that can create liability

•  Get investigative authority from upper level leadership—and make sure all leaders know how to “play” when an investigation takes place

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#4: Calling witnesses in, one after the other, for interviews—without looking for physical or documentary evidence •  “News flash”… Employees making

complaints DO lie sometimes •  Some employees have ulterior

motives…a desire to “get back” at a manager who disciplined them…

•  A good investigation is one in which physical and documentary evidence are collected first—THEN begin gathering testimonial evidence through witness interviews

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#5: Failing to properly document the investigative process and prepare a written report

•  Just gathering evidence to “figure out what happened” regarding employee issues is not enough…

•  If you don’t write it down—it didn’t happen! •  Investigative reports lock in the facts as

they occurred and document what an organization did in response to an employee complaint

•  A well-written report can significantly reduce the risk of legal liability

•  Document, document, document…

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www.hr-investigations.com

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Great Resource for HR

Written especially for HR and Employee Relations’ Professionals. A comprehensive, practical “how-to” guide

that provides a solid process for how to handle allegations of harassment, hostile work environment, discrimination, FMLA abuse, misuse/theft of company assets,

employee misconduct, and other typical HR issues. This guide will help to dramatically improve your skills in conducting witness interviews by learning the Ivey “Bullseye” Interviewing Technique--and reducing the

time it takes to actually complete an investigation. Packed with tips, techniques,

end of section quizzes to test your knowledge, and useful tools &

documentation templates

Available  on  Amazon.com  &  other  retailers.      

Featured  in  SHRM’s    HR  Magazine  &    

ASIS  Interna1onal’s  Security  Management  Magazine  

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Will  be  available  on  Amazon.com,  Barnes  &  Noble,  SHRM  Bookstore  

Coming  soon!    December  2014  

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Natalie Ivey, MBA, SPHR President & CEO

of:

rpchr.com  

Office:    (561)  208-­‐6480  Email:    natalie@rpchr.com  

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