From Allegation to Accountability: An Easy-to-Follow Investigations To-Do List

In every organization, the potential for employee misconduct exists—whether it’s harassment, discrimination, fraud, bullying, or policy violations. When a complaint is made, it’s not just an operational issue—it’s a defining moment for HR. How a complaint is handled can either reinforce a culture of trust and accountability or unravel morale and legal compliance.

Unfortunately, many HR departments stumble at this critical juncture—either by rushing to judgment, failing to act, or mishandling sensitive details. This blog post outlines the essential steps HR should take when a misconduct complaint arises, balancing organizational protection with fairness, transparency, and care for all involved.

Step 1: Take Every Complaint Seriously

Whether the complaint is verbal, written, anonymous, or informal, HR’s first responsibility is to acknowledge it and take it seriously. Dismissing concerns—especially if the employee is from a marginalized group—can signal bias and create organizational risk. It is critical to accurately capture the substance of the complaint as it comes in.

Step 2: Consider Interim Measures

It is often necessary for personnel tweaks to be made while an investigation is pending. These tweaks include, but are not limited to asking an employee to work from home, or minimizing contact between the two employees while the complaint is pending. It’s important that whatever action is taken by HR is done in a way that does not seem punitive or retaliatory.

Step 3: Launch a Prompt and Impartial Investigation

A timely, thorough, and impartial investigation is the cornerstone of any effective response to misconduct. HR must either lead or oversee the process while ensuring procedural fairness for everyone involved. A qualified, unbiased investigator must be assigned. Once the investigation has begun, the investigator must take great care to ensure that they are accurately capturing witness statements and any evidence that might exist in the form of emails, recordings, etc.

Step 4: Reach a Conclusion Based on Evidence

Once the investigation is complete, HR must evaluate the findings and determine whether the misconduct occurred based on a standard of “preponderance of the evidence” (i.e., it is more likely than not that the misconduct happened). When the allegation of misconduct is substantiated, HR must think through the range of corrective action that is applicable (i.e.: training, coaching, termination, suspension.)

Step 5:  Support Post-Investigation Healing and Culture Repair

Even when an investigation is handled well, it can take a toll on morale, trust, and team cohesion. HR should not assume that the process ends when the case is closed. One-on-one follow ups with the complainant and respondent should be scheduled and conducted once the investigation is complete.