As a business or organization, you must be prepared to conduct a prompt and thorough workplace investigation anytime an employee alleges wrongdoing by the company or by another employee. Being able to show that a prompt and thorough investigation was done may make the difference between winning and losing before the EEOC or a court.

The main goal of any investigation is to provide a sound, factual basis for decisions by management. The workplace investigation should also produce reliable documentation that can be used to support management actions. Finally, an investigation of employees should reveal whether any misconduct has occurred, identify (or exonerate) specific employees who are suspected or guilty of misconduct, and put a stop to further wrongful actions.

Appoint A Qualified Investigator

When conducting a workplace investigation, the first step is to appoint a qualified investigator. Courts will determine the adequacy of an investigation, in part, based upon the credentials of the investigator.

Schedule Interviews

The next step is to schedule interviews. Here, you must move quickly to determine who knows what about the situation under investigation. Keep in mind that waiting too long might mean that potential witnesses leave the company, become intimidated or otherwise influenced, forget important details, or go on vacation and are thus unavailable when needed.

Knowing who the witnesses are is necessary for the scheduling of witnesses. The order of interviews can make a big difference in the development of the facts. Always be ready to add to the witness list if other names come up during the investigation.

Prepare an Investigative Report

At a minimum, an investigative report should include information on the following:

• The complainant and subject of the investigation, as well as, all witnesses interviewed
• The allegations of the complaint
• Applicable policies and procedures
• Pertinent background information
• Summary of the facts
• Factual findings and analysis
• Conclusion(s)
• Relevant supporting documents

Conclude The Investigation

At the conclusion of the investigation, communicate the results to involved parties and witnesses without violating confidentiality.  Without disclosing details of the investigation, you can thank witnesses for participating, tell them the investigation is concluded and acknowledge some of the issues raised.

Reporting back to those involved after an investigation is one of your most important tasks.  Failing to follow up leaves workers wondering what happened. That’s when employees begin to speculate, spread potentially damaging gossip and potentially spark complaints with the courts or administrative agencies.

Once the workplace investigation is complete, act on what was learned.  Try to discover the root causes that led to the complaint.  Although no legal or remedial actions may be warranted, training in areas such as diversity, sexual harassment or fairness may be called for.  Actions need not be as serious as termination or discipline, but can include coaching, procedural changes or improvements in complaint mechanisms.

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1. How to Minimize the Risk of Workplace Retaliation Claims