How to Conduct a Workplace Investigation

When an employee raises a complaint about harassment, discrimination, theft, policy violations, or other workplace misconduct, a prompt and thorough investigation is not just good practice. It is often a legal obligation. A properly conducted investigation protects the organization, demonstrates good faith, and can be a critical defense in litigation.

When to Investigate

Not every workplace issue requires a formal investigation. Generally, you should investigate when:

• An employee alleges harassment, discrimination, or retaliation
• There are allegations of theft, fraud, or dishonesty
• A safety violation or workplace accident occurs
• An employee reports a policy violation that could result in discipline
• You receive an anonymous complaint with specific, verifiable allegations
• A government agency contacts you about a charge or complaint

When in doubt, err on the side of investigating. Failing to investigate a legitimate complaint creates far more risk than conducting an unnecessary investigation.

Planning the Investigation

Before conducting any interviews, take these planning steps:

• Identify the specific allegations to be investigated
• Determine who should conduct the investigation (HR, outside investigator, or legal counsel)
• Identify potential witnesses and relevant documents
• Consider whether interim measures are needed, such as separating the parties or placing someone on administrative leave
• Review relevant policies that may apply to the alleged conduct
• Establish a timeline for completing the investigation

Conducting Interviews

Effective investigative interviews follow a structured approach:

• Start with the complainant and get their full account, including dates, locations, witnesses, and any documentary evidence
• Interview the accused and provide enough detail for them to respond meaningfully without revealing the complainant's identity unnecessarily
• Interview witnesses individually and privately
• Ask open-ended questions and let interviewees tell their story before asking follow-up questions
• Take detailed, contemporaneous notes or consider having a note-taker present
• Advise all participants that retaliation is prohibited and that they should keep the investigation confidential

Evaluating Evidence and Reaching Conclusions

After gathering all available evidence:

• Review all interview notes, documents, and physical evidence
• Assess credibility by looking at consistency, corroboration, demeanor, and motive to fabricate
• Apply the preponderance of the evidence standard (more likely than not)
• Consider whether the evidence supports, refutes, or is inconclusive on each allegation
• Document your analysis and reasoning

You do not need certainty. Employment investigations are not criminal proceedings, and a preponderance of the evidence is the appropriate standard.

Documenting and Following Up

Proper documentation protects the organization:

• Prepare a written investigation report summarizing the allegations, evidence, findings, and recommended actions
• Retain all notes, documents, and evidence in a confidential investigation file
• Communicate the outcome to the complainant and the accused, without sharing unnecessary details
• Implement any corrective action promptly
• Monitor the workplace for signs of retaliation
• Follow up with the complainant within a few weeks to confirm the situation has been resolved