Conducting Workplace Investigations

When to Investigate

Initiate an investigation whenever you receive a complaint or become aware of potential:

• Harassment or discrimination
• Workplace violence or threats
• Theft or fraud
• Policy violations
• Safety violations
• Retaliation

Prompt investigation demonstrates good faith and can limit employer liability.

Planning the Investigation

Select the Investigator

Choose someone who is:

• Impartial and has no stake in the outcome
• Experienced in conducting investigations
• Trained on relevant legal requirements
• Available to complete the investigation promptly

Consider using an external investigator for complex, sensitive, or high-level matters.

Define the Scope

Clearly identify:

• The allegations being investigated
• Relevant policies and legal standards
• Witnesses to interview
• Documents and records to review
• Timeline for completion

Conducting Interviews

Interview the Complainant

• Listen actively and take detailed notes
• Ask open-ended questions
• Identify specific incidents, dates, locations, and witnesses
• Explain the investigation process and non-retaliation protections
• Do not make promises about outcomes

Interview the Respondent

• Explain the allegations in general terms
• Give the respondent a genuine opportunity to respond
• Ask about their version of events
• Identify their witnesses and supporting evidence
• Remind them of the non-retaliation policy

Interview Witnesses

• Ask what they observed directly versus what they heard secondhand
• Do not share the identities of the complainant or respondent unless necessary
• Document each interview thoroughly

Making Findings

• Assess credibility based on consistency, corroboration, plausibility, and demeanor
• Apply the appropriate standard (preponderance of the evidence is most common)
• Make clear findings on each allegation
• Base conclusions on evidence, not assumptions

Taking Action

• Determine appropriate corrective action based on the severity of the conduct
• Ensure consistency with prior disciplinary actions for similar conduct
• Communicate the outcome to both the complainant and the respondent
• Implement any systemic changes needed to prevent recurrence

Documentation

Create and maintain a complete investigation file including:

• The initial complaint
• Investigation plan
• Interview notes
• Documents and evidence gathered
• Findings and analysis
• Corrective action taken
• Follow-up communications