Workplace Investigations: An Overview

Posted by Terri Williams on July 16, 2025

The article discusses conducting effective workplace investigations, outlining steps, avoiding mistakesand the benefits of proper investigation practices. A workplace investigation typically involves gathering information and evidence to determine if an employee has violated company policies or engaged in inappropriate behavior. This process includes interviewing involved parties and witnesses, reviewing relevant documents, and ensuring compliance with legal and organizational standards.

What are the Components of a Good Workplace Investigation?

• Define the Scope and Objectives: Clearly outline the issues being investigated and the specific policies or laws potentially violated. Establish the boundaries of the investigation to ensure it remains focused and efficient.

• Develop an Investigation Plan:Develop a plan that outlines the steps to be taken, including who will be interviewed, what evidence will be collected, and how the information will be analyzed. Determine the appropriate timing and location for interviews, ensuring privacy and minimizing disruptions.

• Gather Evidence: Collect relevant documents, such as emails, memos, performance reviews, and other records. Conduct interviews with the complainant, the accused, and any witnesses, documenting their statements carefully. Consider any physical evidence that may be relevant to the situation.

• Analyze the Information: Review all the collected evidence to identify patterns, inconsistencies, and potential biases. Evaluate the credibility of the information and determine the weight to be given to each piece of evidence.

• Make Findings and Recommendations: Based on the analysis, determine whether the allegations are substantiated. If misconduct is found, recommend appropriate disciplinary or corrective actions, such as training, counseling, or termination.

• Document and Report: Maintain detailed records of all aspects of the investigation, including interview notes, documents, and the final report. Ensure that the report is clear, concise, and objective, outlining the findings, conclusions, and recommendations.

Why Conduct Thorough Investigations?

Inadequate Investigations have Consequences

Poorly conducted investigations can lead to worse outcomes than not investigating at all. ​Incompetent investigations can result in a jury questioning the employer's motives and credibility. ​Companies may face greater liability if they fail to address serious issues uncovered during investigations. Proper investigation practices are essential to ensure legal protection and organizational integrity.

Retaliation Claims in Workplace Investigations

Retaliation claims can arise even if the original complaint does not violate the law. ​Employees can sue for retaliation if they face negative consequences for making complaints, even if the complaints are not legally valid. ​ Courts have upheld claims where employees were punished for complaints made in good faith. ​Employers should warn all parties involved in an investigation that retaliation is not tolerated and encourage reporting of any retaliatory actions.

Poor Workplace Investigations lead to Other Problems

Workplace investigations can lead to significant mental health issues for participants, including anxiety, stress, and feelings of powerlessness. Poorly managed investigations may also harm workplace culture and employee morale, resulting in long-term negative effects on the workplace.

Supreme Court Decisions Favor Employees

The Supreme Court has made rulings that protect employees from retaliation. ​Employees can sue for retaliation based on the actions of family members, as seen in Thompson v. North American Stainless. ​Oral complaints can also lead to retaliation claims, as established in Kasten v. Saint-Gobain Performance Plastics Corp. ​The Court emphasizes the importance of protecting employee complaints as a mechanism for enforcing workplace laws. ​

Important Issues when Conducting an Investigation  

Appropriate Interview Techniques

Using coercive tactics during interviews can lead to legal issues. ​Investigators should avoid strong-arm tactics that may result in claims of false imprisonment. ​Employees should feel free to leave interviews if they choose; coercion is not permissible. Proper interviewing techniques are essential for gathering accurate information without legal repercussions.

Maintain Confidentiality During Investigations

Confidentiality is crucial to ensure the integrity of workplace investigations. Revealing too much information can lead to perceptions of bias and may influence witness statements. ​Employees may sue for defamation if they believe their reputation has been harmed by the investigation process. ​Employers should limit discussions about the investigation to those who need to know. ​

Objectivity in Workplace Investigations

Maintaining objectivity is essential for credible workplace investigations. Personal biases can undermine the investigation's integrity and lead to discrimination claims. ​ Investigators should focus on evidence rather than personal feelings about individuals involved. Seeking assistance from others can help maintain objectivity during the investigation process.

Workplace Investigations and Privacy  

Respecting Employee Privacy Rights

Investigators must balance the need for information with employees' privacy rights. ​Intrusive searches require strong justification and should be supported by company policies. ​Employers should have clear written policies regarding searches and monitoring to protect against invasion of privacy claims. ​The legality of searches often hinges on the employee's reasonable expectation of privacy. ​

Workplace Investigations and Defamation

A smear campaign can be a form of defamation, specifically if it involves spreading false information that harms someone's reputation. Defamation law protects employees from false statements that damage their public image, and smear campaigns often utilize tactics like spreading rumors and gossip to achieve this.

Example 

Blake Lively's alleged smear campaign, was orchestrated by her co-star and director Justin Baldoni and his production company Wayfarer, involved planting negative stories and social media content to damage her credibility while boosting Baldoni's. This included hiring publicists to spread theories and criticism online, amplifying and boosting content to "eviscerate" Lively's reputation, and suppressing negative content about Baldoni, according to Lively's court filing. The campaign aimed to manipulate public opinion by blurring the lines between authentic and manufactured content, creating a perception that Lively's negative reputation was a result of her own actions.

Defamation Claims and Employer Protections

Employers can face defamation claims if they disclose false information about employees. ​Truth is a primary defense against defamation claims; employers must ensure statements are accurate. ​Good-faith references to prospective employers are generally protected from defamation lawsuits. ​Employers should only share information on a need-to-know basis to minimize legal exposure. ​

Polygraph Testing

Legal Limitations on Polygraph Testing

Polygraph tests are heavily regulated and often inadvisable in workplace investigations. ​The Employee Polygraph Protection Act restricts when employers can require polygraph tests. ​Employers must meet strict criteria and provide written notices to employees before testing. ​Given the complexities and potential legal issues, it is usually best to avoid polygraph testing altogether. ​

Conclusion

Incomplete investigations can lead to significant legal repercussions and employee dissatisfaction. Failing to conduct a thorough investigation can result in retaliation claims or wrongful termination lawsuits. Detailed records of the investigation process, including interviews and evidence, are crucial for defensibility. ​A sloppy investigation may lead to perceptions of bias or incompetence, damaging the company's credibility and reputation.