Something happened at work.
Maybe an employee reported misconduct. A manager noticed a policy violation. Someone raised a concern about discrimination, retaliation, theft, or inappropriate behavior.
Now what?
Not every workplace problem requires a formal investigation. But when an allegation could affect an employee, the workplace, or the company’s legal or business interests, employers need to take the concern seriously and determine what happened.
A well-handled workplace investigation can help an employer understand the facts, respond appropriately, and reduce the risk of making the situation worse.
What Is a Workplace Investigation?
A workplace investigation is a fact-finding process used to determine what happened when an employer receives a serious complaint, allegation, or concern.
The goal is not to prove that someone is guilty or innocent before the facts are known. The goal is to collect relevant information, speak with the people involved, review available evidence, and reach a reasonable conclusion based on the facts.
This article provides a broad look at workplace investigations, from deciding when one is needed to determining who should handle it and what happens afterward. For a deeper look at specific issues, such as harassment complaints and harassment investigations, see our related articles mentioned throughout.
When Should an Employer Conduct an Investigation?
An investigation may be appropriate when an allegation is serious enough that the employer needs more information before deciding what action to take.
For example:
- An employee reports harassment or discrimination.
- A manager suspects serious misconduct.
- An employee alleges retaliation after making a complaint.
- Company property or money is missing.
- An employee is accused of violating an important workplace policy.
- There are conflicting accounts of a serious workplace incident.
- The employer becomes aware of conduct that could create legal or significant business risk.
The key question is: Does the employer need to establish the facts before deciding what to do?
If the answer is yes, an investigation may be appropriate.
What Types of Workplace Investigations Are There?
Workplace investigations are not limited to harassment complaints.
Depending on the situation, an employer may investigate:
- Harassment or discrimination
- Retaliation
- Employee misconduct
- Policy violations
- Theft or fraud
- Workplace violence or threats
- Safety concerns
- Timekeeping or attendance issues
- Conflicts involving employees or managers
- Other complaints involving potentially serious workplace conduct
The type of investigation will influence who conducts it, what information to gather, and how to handle it.
Does Every Workplace Complaint Require an Investigation?
No.
Some workplace concerns can be addressed through normal management practices, coaching, clarification, or conflict resolution.
For example, a disagreement between two employees may not require a formal investigation if the facts are clear and the issue can be resolved appropriately.
But employers should be careful not to dismiss complaints too quickly. A concern that initially appears minor may reveal a larger pattern or a more serious issue.
When in doubt, employers should consider the seriousness of the allegation, any potential impact on employees and the business, applicable company policies, and whether additional facts are needed before taking action.
Who Should Conduct the Investigation?
The person conducting an investigation should be impartial, qualified, and able to approach the situation objectively.
Depending on the organization and the circumstances, that person could be:
- An HR professional
- A trained manager
- An internal investigator
- An employment attorney
- An outside HR or workplace-investigation professional
The investigator should not have a personal interest in the outcome or a conflict of interest involving the people or issues being investigated.
For smaller businesses, this can be challenging. There may not be someone internally who has the training, experience, or necessary distance from the situation.
How to Conduct an Effective Workplace Investigation
While every situation is different, the basic workplace investigation steps generally include the following:
- Define the concern and scope.
Identify what is being alleged and determine what questions the investigation needs to answer. - Address immediate concerns.
If there is an immediate safety, retaliation, or other serious concern, take appropriate steps while the investigation is underway. - Gather relevant information.
Collect documents, emails, messages, policies, records, photographs, or other evidence that may help establish what happened. - Conduct interviews.
Speak with the person who raised the concern, the person accused of wrongdoing, and relevant witnesses. Ask open-ended questions and give people an opportunity to explain what they know. - Evaluate the information.
Compare statements and evidence rather than automatically accepting one person’s version of events. - Document the findings.
Keep clear records of the information gathered, interviews conducted, and conclusions reached. - Determine appropriate next steps.
Based on the findings, the employer can determine whether corrective action, discipline, policy changes, training, or another response is appropriate.
For a closer look at investigating a harassment complaint, see our article, “5 Steps to Conducting a Thorough Workplace Harassment Investigation.”
Common Mistakes Employers Make During Investigations
Even employers who are trying to do the right thing can make mistakes.
Common problems include:
- Waiting too long to investigate
- Deciding what happened before gathering the facts
- Assigning the investigation to someone with a conflict of interest
- Asking leading or accusatory questions
- Failing to preserve relevant evidence
- Sharing information unnecessarily
- Promising complete confidentiality when that cannot be guaranteed
- Failing to document the process
- Taking disciplinary action before the investigation is complete
- Failing to watch for possible retaliation afterward
A thoughtful, consistent process can help employers avoid these problems.
What Happens After a Workplace Investigation?
The investigation does not necessarily end when the interviews are finished.
The employer should review the findings and determine what action, if any, is appropriate. That could include discipline, coaching, additional training, policy changes, or other corrective measures.
Employers should also document the outcome and follow up as appropriate. If the investigation involved an employee complaint, remain alert for signs of retaliation or other problems after the matter has been addressed.
Remember, the purpose is to address the underlying issues and help prevent similar problems in the future.
When Should an Employer Use an Outside Investigator?
An outside investigator may be appropriate when:
- The allegation involves an owner, senior leader, or HR professional.
- The organization does not have a qualified internal investigator.
- There is a concern about impartiality or a conflict of interest.
- Employees may be uncomfortable reporting to someone internally.
- The allegations are particularly serious or sensitive.
- The company needs someone with specialized investigation experience.
For a small business, bringing in an outside professional can also provide separation between the investigation and the people directly involved in the situation.
A Workplace Investigation Should Start with the Facts
The workplace investigation process does not have to be complicated, but it should be taken seriously.
The most important principles are simple: respond quickly, remain impartial, gather the facts, document the process, and make decisions based on the information available.
And when a situation involves serious allegations, significant risk, or questions about how to proceed, getting experienced help early can be far better than trying to fix mistakes later.
As you’ve seen, there’s a lot to consider when conducting workplace investigations. For additional reading specific to harassment complaints, you’ll appreciate “How Should Employers Handle Harassment Complaints” and “What Does Workplace Harassment Look Like & How Can Employers Identify It?”
And for more guidance or clarification about your unique situation, BlueLion’s HR consultants are here to help. Call us at 603-818-4131 or email info@bluelionllc.com to discuss the implications for your business.
The information on this website, including its newsletters, is not, nor is it intended to be legal advice. You should contact an attorney or HR specialist for advice on your individual situation.
