When employee misconduct surfaces, how you respond matters just as much as what happened. A rushed or poorly handled investigation can create legal risk, escalate internal tension, and damage your credibility even if your intentions are good.
By contrast, a well-run investigation helps uncover the truth, protects the organization, and ensures everyone is treated with respect. It doesn’t have to be adversarial. But it must be structured, fair, and objective from the start.
Start With a Clear Understanding of the Allegation
Before you can investigate, you need to know what you’re investigating. That means gathering initial facts, reviewing any written complaints or reports, and understanding who is involved.
Ambiguity at this stage often leads to wasted effort or missed details later. Define:
- What specifically is being alleged
- Who raised the concern (and whether it was formal or informal)
- What policies, laws, or standards may have been violated
You don’t need all the facts yet but you do need a solid foundation.
Choose the Right Investigator
Objectivity is non-negotiable. If the person leading the investigation has a direct relationship with the individuals involved, or a vested interest in the outcome, credibility suffers.
In some cases, internal HR or compliance teams can handle it. But in more sensitive or high-risk situations, bringing in a third party is often the best move. It ensures neutrality, helps preserve privilege, and gives the process more weight internally and externally.
Plan Before You Act
Good investigations don’t rely on improvisation. Build a plan that outlines:
- What evidence needs to be collected (emails, access logs, physical records, etc.)
- Who will be interviewed, and in what order
- What the timeline and process will look like
- How confidentiality will be maintained
Then document every step along the way, not just for recordkeeping, but to protect the integrity of the process.
Be Fair, Not Passive
Fairness doesn’t mean avoiding hard questions. It means asking them in a consistent, respectful way and making sure every relevant party has a chance to speak.
Interview subjects should be told the general purpose of the conversation, given time to prepare, and treated with professionalism throughout. Avoid leading questions or jumping to conclusions. And don’t treat silence or defensiveness as guilt.
Analyze, Don’t Assume
It’s easy to look at a handful of emails or a tense conversation and draw conclusions. But that can lead to tunnel vision. A solid investigation weighs all the facts, identifies patterns, and connects timelines.
This is especially important when there are conflicting accounts. Objective evidence, corroborating sources, and consistency are your best tools. Avoid leaning too heavily on gut instinct or emotional reactions.
Report and Act
Once the facts are gathered, findings should be summarized clearly even if there’s no formal report. Decision-makers need a reliable summary of what happened, what was confirmed, and what remains unclear.
From there, determine what actions are warranted. These may include discipline, retraining, policy updates, or in some cases legal action.
Whatever path you choose, consistency matters. How one case is handled sets the tone for how future situations will be perceived.
Know When to Call for Help
Some investigations require a deeper level of expertise. This may include digital forensics, surveillance, interviews with legal implications, or concerns involving leadership or high-value employees.
Swailes has conducted thousands of internal investigations across industries, including sensitive cases involving misconduct, harassment, fraud, data misuse, and more. We bring discretion, objectivity, and a calm hand even in tense situations.
If you’re facing a potential misconduct issue or want guidance before one escalates, Swailes offers the experience and discretion to help you move forward with confidence. Our team is ready to support you wherever you are in the process.