Proper workplace and internal investigations training is a critical requirement for HR professionals who want to ensure trust while mitigating risk at their organization.
To help, below you will find information and best practices on properly handling workplace or internal investigations.
What Is A Workplace Or Internal Investigation?
A workplace or internal investigation refers to a formal inquiry conducted within an organization to address concerns related to a variety of issues. These issue can include theft, harassment, retaliation, misconduct, policy violations, discrimination, or any other issue that may affect the workplace environment or the organization's operations.
Investigations are typically carried out by designated individuals within the organization, such as human resources personnel, compliance officers, or specialized investigators.
The Key Steps Of An Internal Investigation
The purpose of an internal investigation is to gather relevant information, interview involved parties, review documents and evidence, and ultimately determine the facts surrounding the issue under investigation.
The process aims to ensure fairness, impartiality, adherence to established procedures and policies - all within the legal bounds of the law.
Top Compliance Issues About Workplace Investigations
Here are some common issues that should be addressed:
Information gathering
Documenting evidence
Interviewing claimants and witnesses
Delayed response to complaints
Biased or untrained investigator
Poor documentation
Inconsistent discipline
Breach of confidentiality
Report writing
Communicating findings
Retaliation after complaint
Organizations should note that the biggest risk in investigations isn't just the outcome, it is whether your process is viewed by employees and the courts as fair, consistent, and well-documented.
Compliance Checklist For Internal And Workplace Investigations
Below is a Compliance Checklist for Workplace Investigations that is designed to help HR conduct fair, defensible, and legally compliant investigations aligned with enforcement expectations from the Equal Employment Opportunity Commission and key laws like Title VII of the Civil Rights Act of 1964, and the Americans with Disabilities Act, and other workplace protections.
Policy & Framework Written investigation policy in place Policy should define the types of complaints covered (harassment, discrimination, retaliation, misconduct) and reporting channels Policy communicated to all employees Anti-retaliation provisions clearly stated
Complaint Intake Process Reporting channels communicated (for instance, HR Department, Manager, Hotline / anonymous reporting) Complaints accepted verbally or in writing Intake process standardized Complaints logged and timestamped
Immediate Response & Risk Assessment Prompt response upon receiving complaint Initial risk assessment conducted. Should consider safety concerns, potential of ongoing misconduct Interim measures implemented (for instance, separation of parties, schedule changes) No premature conclusions drawn
Investigator Assignment Investigator is trained, and is neutral and unbiased conflicts of interest investigator used when appropriate
Investigation Planning Investigative plan developed:
Issues to be investigated
Witness list
Evidence sources
Scope clearly defined Timeline established
Interviews Complainant interviewed first Respondent given opportunity to respond Witnesses interviewed as needed Interviews should be conducted privately and documented thoroughly leading or coercive questioning
Evidence Collection Relevant evidence gathered:
Emails
Messages
Documents
Video (if applicable)
Evidence preserved (no spoliation) Chain of custody maintained (when necessary)
Confidentiality & Privacy Information shared on need-to-know basis only Confidentiality expectations communicated Sensitive data handled securely
Documentation & Recordkeeping Investigation file should include:
Complaint
Interview notes
Evidence
Findings
Notes are objective and gact-based (not opinions) Records retained per policy
Analysis & Findings Findings based on preponderance of evidence standard Consistency with company policy and past decisions Credibility assessments documented No bias or unsupported conclusions
Outcome & Corrective Action Appropriate corrective action determined Action consistent with severity and precedent No retaliation against complainant or witnesses
Communication of Results Complainant informed investigation is complete Respondent informed of outcome Maintain appropriate confidentiality in communication No unnecessary details disclosed
Anti-Retaliation Monitoring Monitor workplace after investigation Follow up with complainant Address retaliation concerns immediately
Integration With Other Laws Evaluate overlap with laws such as the ADA and the FMLA, especially in instances of suspected abuse Consider whether complaint triggers additional obligations (e.g., accommodations)
Training & Governance Investigators trained regularly Managers trained on escalation procedures Standard investigation templates used Legal/HR oversight for high-risk cases
Timeliness & Process Control Investigations initiated promptly Completed within reasonable timeframe Delays documented and justified Status tracked centrally
Audit & Continuous Improvement Investigations periodically audited Trends analyzed (repeat issues, departments) Policies updated based on findings Lessons learned documented
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