How to Conduct a Workplace Investigation the Right Way

A workplace investigation is required any time a complaint is made about harassment, discrimination, retaliation, safety violations, or serious misconduct. The investigation is not optional — and how it is conducted has direct implications for the business's legal exposure and for the people involved.

Most small businesses have never conducted a formal workplace investigation. That is not necessarily a problem — until the first complaint arrives and there is no process to follow.

The Core Principles

Promptness. Investigations should begin as soon as possible after a complaint is received. Delay signals that the complaint is not being taken seriously and allows memories to fade and evidence to be lost.

Thoroughness. All relevant witnesses should be interviewed. All relevant documents, communications, and records should be reviewed. Conclusions should be based on the totality of the evidence, not on who seems more credible in isolation.

Impartiality. The investigator should have no personal stake in the outcome and no reporting relationship to the people involved. If the investigation involves a senior leader, consider whether an external investigator is appropriate.

Confidentiality. Keep the investigation as confidential as possible. Do not share information beyond those who need it to conduct the investigation. Remind all participants that they are not to discuss the matter with coworkers.

The Investigation Process

1. Receive and document the complaint
2. Determine the scope and assign an investigator
3. Conduct the complainant interview first, in detail
4. Interview the accused, allowing them to respond to the specific allegations
5. Interview relevant witnesses
6. Review all relevant documentation
7. Reach findings based on preponderance of evidence
8. Document the findings and the basis for them
9. Determine and implement appropriate corrective action
10. Close the loop with the complainant