Internal investigations into worker conduct can help businesses address complaints, enforce company policies, and maintain workplace integrity. Whether a particular issue involves harassment, discrimination, misconduct, or policy violations, a properly conducted investigation can protect a company from legal liability and help facilitate a fair working environment.
Generally speaking, employers must approach investigations with diligence, neutrality, and compliance with employment laws to ensure a just process. This approach also helps preserve a company’s position and options for recourse in the event that an internal investigation leads to adversarial legal action.
Establishing a Clear Investigation Process
A structured approach to internal investigations ensures consistency and legal compliance. Companies should have a written policy outlining when and how investigations are to be conducted. A well-defined process typically includes:
- Determining the Need for an Investigation: When a complaint or incident is reported, management must assess whether a formal investigation is necessary. Issues involving workplace harassment, theft, safety violations, or serious misconduct generally require immediate action.
- Assigning an Investigator: An investigator should be neutral and experienced in employment law or human resources procedures. Some cases may warrant hiring an external investigator to ensure impartiality, particularly if the complaint is against senior management.
- Gathering Evidence: The assigned investigator should collect relevant documents, emails, video footage, and company policies that may support or refute allegations. Preserving evidence early helps to prevent potential claims of tampering or bias.
These general rules are a great starting point. However, every internal investigation is unique. Therefore, businesses shouldn’t hesitate to seek legal guidance whenever questions or concerns arise. A failure to seek support could limit a company’s options or the strength of its position down the line.
Conducting Fair and Objective Interviews
Interviews with relevant parties are an important component to any workplace investigation. To maintain fairness and credibility, businesses should:
- Interview the complainant first to obtain details about the allegations
- Interview the accused employee(s), allowing them the opportunity to respond to claims
- Speak with witnesses who may have observed the alleged misconduct
- Take detailed notes or record interviews (with consent) to ensure accurate records
Employers should remind participants that retaliation for participating in an investigation is strictly prohibited under workplace policies and employment laws.
Additionally, while confidentiality cannot always be fully guaranteed, businesses should limit knowledge of an investigation to only those directly involved. This approach helps to protect employee privacy and prevents workplace disruption. Employers must also comply with federal and state employment laws, including anti-discrimination and whistle-blower statutes and any contractual obligations related to disciplinary actions.
Reaching a Conclusion and Taking Appropriate Action
After reviewing evidence and interviews, an investigator must determine whether misconduct occurred and recommend appropriate action. Disciplinary measures should align with company policies and be applied consistently across similar cases. If no wrongdoing is found, the company should still document the investigation’s findings to demonstrate due diligence.
By conducting thorough and legally sound investigations, businesses can mitigate legal risks, protect employee rights, and uphold workplace integrity. And, should the need for a legal defense arise, having the evidence of a well-conducted investigation helps that business protect its interests moving forward.