Internal investigations are a critical tool for employers to address workplace complaints and maintain compliance with federal workplace laws. Whether it’s a report of harassment, discrimination, retaliation, or policy violation, how a company handles an internal investigation can significantly impact both legal exposure and workplace morale.
Handled correctly, an investigation can resolve issues fairly and prevent further problems. Handled poorly, it may lead to increased liability, reputational damage, and employee disengagement.
When To Initiate An Internal Investigation
Employers should consider initiating an internal investigation when:
- A formal complaint is made regarding harassment, discrimination, or retaliation
- There are reports of workplace misconduct or policy violations
- There are concerns about safety, ethics, or compliance with employment laws
In general, the threshold for beginning an investigation should be low. It is better to document a quick inquiry that reveals no issues than to ignore or delay a legitimate concern. When in doubt, consulting a discrimination lawyer is advisable.
Who Should Conduct The Investigation
Investigations should be handled by someone who is impartial and appropriately trained. This could be an HR professional, compliance officer, or—in more complicated situations—a third-party investigator or legal counsel.
Key traits of an effective investigator include neutrality, attention to detail, discretion, and a strong understanding of relevant workplace laws and company policies.
Key Steps In The Investigation Process
Plan the Investigation
Begin by identifying the scope of the investigation. What exactly is being alleged? What company policies or legal standards are at issue? Create a list of witnesses, documents, and any other evidence that needs to be reviewed.
Conduct Interviews Promptly
Timeliness is important. Interview the complainant first, followed by the accused and any relevant witnesses. Keep interviews professional and focused, and always take detailed notes.
Maintain Confidentiality
While you can’t promise absolute confidentiality, information should be shared only with those who need to know. Emphasize discretion to all parties involved.
Evaluate Evidence Objectively
Review all information collected, including interview notes, emails, documents, and any other relevant materials. Assess credibility and consistency. Avoid assumptions or conclusions not supported by facts.
Document Findings and Take Appropriate Action
Prepare a summary report that outlines the allegations, steps taken, and conclusions reached. Based on the findings, take corrective action if necessary. This might include disciplinary action, additional training, or policy revisions.
Follow Up with Involved Parties
After the investigation, inform the complainant and the accused that the matter has been addressed, without disclosing confidential details. Follow up to ensure no retaliation occurs.
Legal Considerations
Internal investigations can intersect with several federal employment laws, including Title VII, the Americans with Disabilities Act (ADA), the Family and Medical Leave Act (FMLA), and the Fair Labor Standards Act (FLSA). Employers should consult employment attorneys, like Exhibit G Law Firm, to confirm their investigation process respects employees’ rights under these laws.
Documentation should be thorough and objective. If litigation arises, an employer’s investigation process and records may be closely scrutinized.
Strengthen Workplace Culture And Legal Compliance With Effective Investigations
A prompt, fair, and well-documented internal investigation can help employers resolve issues before they escalate, demonstrate compliance with federal law, and show employees that the organization takes their concerns seriously. By developing a standard process and training those involved, employers can minimize legal risk and promote a culture of accountability and respect.