Protect your business from multimillion-dollar lawsuits
What is a workplace investigation? Is it a matter of goodwill for organizations to process an employee’s compliance? Does anyone understand the best practice and right process of how to conduct a workplace investigation in a legal format? For any employer, conducting a workplace investigation is as critical as developing and improving your brand name in today’s market. The following guide will provide employers with the necessary information on conducting a legally compliant workplace investigation.
Statistics show that 88,531 discrimination charges have been filed with EEOC in 2024. That’s a 47% rise compared to last year. Unemployment is also at a record low: 3.6%. As unemployment decreases, the pool of potential new hires shrinks, and the likelihood of discrimination complaints increases. In short, good employers today can’t avoid workplace investigations.
Most companies improvise when dealing with complaints from their employees. They think they can figure things out. However, if they do not have a proper and competent investigation procedure, they expose themselves to:
- Huge legal liabilities
- Employee lawsuits
- Regulatory fines and penalties
Instead, a bulletproof investigation process that not only protects your business but also treats your employees with respect and dignity is needed.
In this post, we’ll cover:
- Why Workplace Investigations Have Never Been More Important
- The Legal Framework You Cannot Ignore
- The Investigation Process That Will Protect Your Business
- The Biggest Mistakes That Can Destroy Your Case
- The Documentation That Must Hold Up in Court
Why Workplace Investigations Have Never Been More Important
Workplace investigations are not HR’s busy work…
They are your first line of defense against disastrous lawsuits and regulatory hell.
Here’s what most employers do not realize: bad investigations not only do not solve the problem, they create one. When you botch a workplace investigation, you essentially give ammunition to the employee who will eventually sue you.
And, they will sue you, because:
- In recent data 48% of workplace violence incidents were unreported, which means, in most cases, the employers do not even know that they happen and can cause harassment
- 88,531 discrimination charges were filed with EEOC only in 2024
Employment litigation continues to increase, and bad investigations make employers’ positions very difficult in court.
The Legal Framework You Cannot Ignore
Before you even start investigating, you must have an idea about the legal framework.
Here’s the problem… Employment law is not only federal anymore. State and local laws are becoming more complicated every year, and Texas employers should be aware of both the federal requirements and the state-specific laws that apply to them.
That’s where professional Texas Employment Law services become invaluable. These experts understand the complex web of federal, state, and local employment laws that your company must follow when performing a workplace investigation.
Among the critical legal requirements are:
- Due process for the accused employee
- Confidentiality obligations
- Documentation requirements that meet legal standards
- Timeline restrictions for the workplace investigation completion
- Anti-retaliation protections for the complainant
However, the specific requirements vary considerably by jurisdiction and the type of allegation. What is legal and fair in one state can get you sued in another.
The Investigation Process That Will Protect Your Business
Ok, now it’s time to build an investigation process that will keep your business safe.
This is the exact framework that professionals use to conduct workplace investigations that are immune to attacks in court.
Step 1: Immediate Response and Assessment
The moment you receive a complaint is the time you must start the investigation.Here’s what your first 24 hours should be focused on: start by securing any physical evidence and separating the parties, if needed. Do not wait to “gather more information” or “downplay the situation.”
Document everything, including the date, time, and the exact nature of the complaint.
Step 2: Choose Your Investigator
This choice can make or break your case.
Here’s what you should know: Internal investigators are good for low-level situations, but high-stakes allegations should be given to external investigation professionals. The investigator should be neutral, trained, and have no conflicts of interest.
Never assign the case to:
- The supervisor of the accused
- Someone involved in the situation
- Anyone having personal relationships with either party
- HR staff without investigation training
Step 3: Create the Investigation Plan
Professional investigators do not start interviewing anyone immediately…
Instead, they create a strategic plan that ensures both thoroughness and low legal exposure.
Your plan should include:
- The timeline
- List of witnesses
- Documents/evidence for reviewing
- Legal standards that apply to the case
- Interim measures if needed during the investigation
Step 4: Gather Evidence and Conduct Interviews
This is where most employers make a mistake. They either ask the leading questions, do not follow the important details, or get personal bias in their way.
Here’s how to conduct the right interview:
- Start with the complainant to understand his or her perspective
- Interview the accused party giving him or her a fair chance to respond
- Interview the relevant witnesses who could have seen or heard something important
Critical rules for the interviews:
- Use only open-ended questions
- Take notes during every interview
- Provide a chance to give more information to everyone involved
- Do not make any promises about the outcome
- Maintain strict confidentiality
Step 5: Analyze Evidence and Make Findings
This is where your legal knowledge will play a critical role.
You are not here to establish guilt “beyond a reasonable doubt” as it is in criminal court. You need to find out what is “more likely to have happened” based on the evidence.
Consider the following factors:
- Credibility of the witnesses
- Consistency of the statements
- Physical evidence
- Corroborating information
- Past behavioral patterns
Step 6: Take Appropriate Action
Discovery of the misconduct is only half the battle …
Your response must be proportionate to the violation, consistent with the past practice, and legally defensible.
Discipline should:
- Fit the severity of the misconduct
- Take into account the employee’s history
- Aim to avoid future incidents
- Be consistent with the established policies
- Meet the legal requirements for progressive discipline
The Biggest Mistakes That Can Destroy Your Case
Want to know the quickest way to lose a lawsuit?
Make the following investigation mistakes that employment attorneys see every day.
Mistake #1: Delaying the Investigation
Waiting weeks or even months to investigate makes it clear that you do not care about either of the parties. It also makes gathering the evidence more difficult and the witnesses’ memories less reliable.
Mistake #2: Inadequate Documentation
If it is not written down, it did not happen. Bad documentation is probably the number one reason employers lose the cases they should have won.
Mistake #3: Predetermined Outcomes
Some managers already know what they want to find before the investigation even begins. This approach poisons the entire process and creates a legal liability.
Mistake #4: Ignoring Retaliation Risks
The investigation process itself can create retaliation claims if not done carefully. All parties must understand their rights and your anti-retaliation policy.
Documentation That Must Hold Up in Court
As we have already mentioned, your Workplace Investigations is as strong as your documentation.
Here’s what should be in every investigation file:
- The original complaint (written or detailed notes of the verbal complaint)
- Investigation plan and timeline
- Complete interview notes with date and signature
- All the relevant documents, emails, and physical evidence
- Analysis of credibility and evidence
- The final conclusions with the supporting rationale
- The disciplinary action taken and the rationale
Pro tip: write the documentation as if it will be read by a judge or a jury because it most probably will.
Wrapping it All Together
Conducting a legally compliant workplace investigation is not an option for today’s employers.
The rate of discrimination charges filed with EEOC has recently reached a record high, and the workplace violence incidents often go unreported. Employers who do not investigate are playing with fire.
The key takeaways:
- Respond quickly to any complaints
- Follow a systematic workplace investigation process
- Document everything
- Seek professional guidance if the situation is serious
- Take the appropriate action based on your findings
It is critical to understand that a proper investigation protects both your business and your employees. It shows your dedication to providing your employees with a safe and respectful work environment and minimizes your legal risks.
Start it now, and protect your business from multimillion-dollar losses.
