In today’s workplace, addressing misconduct promptly and fairly is essential for maintaining employee morale and mitigating legal risk. A well-conducted workplace investigation can mean the difference between resolving an issue internally or facing a costly and reputation-risking lawsuit.
The lawyers at Hoyer Law Group have worked with organizations of all sizes, navigating everything from isolated complaints to company-wide investigations. While every situation is unique, the most successful outcomes follow a consistent approach: one grounded in neutrality, legal compliance, thorough documentation, and prompt action.
This blog outlines the legal and procedural best practices for conducting effective workplace investigations. Whether you’re dealing with a workplace harassment investigation, a retaliation complaint, or broader employee investigations, the proper process is critical.
Why Internal Workplace Investigations Are Essential
In 2024, the Equal Employment Opportunity Commission (EEOC) received more than 88,000 discrimination complaints—a 9% increase from the prior year. Sexual harassment charges surged as well, with over 7,700 cases filed, the highest in more than a decade. These numbers reflect a workforce that is increasingly aware of its rights and unafraid to report misconduct.
This shift underscores the importance of a proactive response. A comprehensive and timely internal workplace investigation can help organizations identify problems before they escalate, demonstrate good faith to regulators, and mitigate the risk of complaints related to workplace retaliation. In fact, a thorough investigation is often a company’s strongest defense in EEOC proceedings or employment litigation.
However, poor handling, or worse, inaction, can expose employers to serious consequences, from fines and lawsuits to lasting damage to employee trust and brand reputation.
Step 1: Choose the Right Investigator
The first step in a successful investigation is selecting the right person to lead it. The investigator must be neutral, experienced, and independent of the parties involved in the investigation. In complex or high-stakes situations, especially those involving executives or legal exposure, it’s often best to bring in a workplace investigations attorney.
Hiring an outside employment lawyer for investigations ensures that the process is impartial and legally defensible. It also helps preserve attorney-client privilege in sensitive matters. For lower-risk issues, a trained HR professional may be sufficient. Still, they would ideally receive guidance from a workplace investigation lawyer or HR investigation attorney to ensure compliance with employment laws and internal policies.
Step 2: Establish a Structured Investigation Plan
No investigation should begin without a clear plan. A strong legal workplace investigation process involves defining the scope of the allegations, identifying relevant witnesses, collecting relevant documentation, and developing an effective interview strategy.
Start by outlining what workplace policies or laws may have been violated. Then, identify individuals with firsthand knowledge of the incident or context. Next, determine what types of evidence, such as emails, text messages, personnel files, and security footage, are relevant. Finally, schedule interviews and create a consistent set of open-ended questions to ensure objectivity.
An organized employment law investigation not only makes the process more efficient but also helps demonstrate to courts or regulators that your company takes allegations seriously and follows a consistent methodology.
Step 3: Begin the Investigation Promptly
Timing is critical in any workplace misconduct investigation. The EEOC recommends that employers begin an investigation “reasonably soon” after learning of a complaint, typically within a few business days. Delays can harm credibility and may even be evidence of negligence.
Once the investigation is underway, start by interviewing the complainant, followed by the accused, and then any witnesses. Throughout the process, maintain detailed documentation. This includes timestamps of interviews, verbatim or near-verbatim notes, copies of relevant documents, and any findings related to witness credibility.
Consistency, neutrality, and professionalism are essential for effective communication. Avoid leading questions, assumptions, or showing favoritism. Your role, or that of your investigator, is to gather facts, not advocate for either side.
Step 4: Safeguard Confidentiality and Prevent Retaliation
While total confidentiality can’t be guaranteed, information should be shared strictly on a need-to-know basis. Be transparent with employees about how the process works: who will have access to the investigation file, what type of communication they can expect, and how the company will protect them from retaliation.
Clear communication is crucial in workplace harassment and discrimination investigations, where emotions can run high and trust in the process is essential. Employees need to know their voices are heard and that the company has their backs when they speak up.
Step 5: Make a Fair and Evidence-Based Determination
Once all interviews are complete and the evidence has been gathered, the investigator must determine whether a policy or law was violated. This should be based on the “preponderance of the evidence” standard, meaning it’s more likely than not that the misconduct occurred.
The final report should include a summary of the complaint, relevant policies, identities of the involved parties, facts uncovered, analysis of credibility, and a final determination. Where appropriate, the investigator should also recommend corrective action. Even if no violation is found, a well-documented investigation demonstrates that the company acted in good faith and followed its procedures.
Step 6: Take Prompt and Proportional Action
If the investigation confirms misconduct, employers must act quickly and appropriately. Responses may include disciplinary action, termination, additional training, or updates to company policies. Be sure to document the rationale for any decision made and ensure that the response aligns with both internal policies and applicable laws.
Once a decision has been made, inform both the complainant and the accused that the investigation has concluded. You don’t need to share all the details, but both parties should receive closure and assurance that the issue was addressed seriously.
Final Thoughts about Workplace Investigations
Workplace investigations aren’t just about legal compliance; they’re about fostering a safe, respectful, and accountable workplace. Done right, an attorney-led workplace investigation can minimize risk, demonstrate fairness, and protect both your employees and your organization.
But even experienced HR teams can encounter situations that require expert support. At Hoyer Law Group, we specialize in assisting employers with independent workplace investigations, refining internal policies, and responding effectively to EEOC complaints and litigation. Whether you’re dealing with a complex employee investigation involving harassment, discrimination, or retaliation, or simply want to ensure your procedures meet legal standards, our team is here to provide strategic, attorney-led guidance tailored to your needs.
If your organization is facing a sensitive issue or looking to strengthen its internal investigation process, contact us today to speak with an experienced workplace investigation lawyer and protect your business with confidence.
