Workplace Investigations – How to Handle Complaints Legally and Effectively
Introduction
Workplace complaints related to harassment, discrimination, misconduct, and policy violations can significantly impact an organization’s culture and legal standing. Mishandling these complaints can lead to costly lawsuits, damaged reputations, and decreased employee morale.
A proper workplace investigation ensures fairness, compliance with employment and labour laws, and protection for both employees and the company. Employers must follow a structured, legally sound process when addressing complaints to maintain workplace integrity and avoid legal pitfalls.
What Is a Workplace Investigation?
A workplace investigation is a structured process used to address employee complaints or misconduct allegations. It ensures:
✔️ Procedurally fair treatment of all parties involved
✔️ Protection of confidential and sensitive information
✔️ A collection of all relevant evidence and determination of the facts
✔️ Compliance with employment laws and workplace policies
Employers must handle investigations objectively and professionally to ensure credibility and legal compliance.
Step-by-Step Guide to Conducting a Workplace Investigation
Receiving the Complaint
Ensure confidentiality and document the complaint thoroughly.
Determine if the complaint requires an internal or external investigation.
Assure the complainant that their concerns will be addressed fairly and promptly.
Assessing the Allegations
Identify the nature and severity of the allegations.
Determine if immediate action is required (e.g., paid administrative leave, temporary reassignment).
Review company policies and applicable employment and labour laws.
Planning the Investigation
Assign a neutral and trained investigator (internal HR or external expert).
Outline the scope and timeline of the investigation.
Identify witnesses and sources of evidence (emails, documents, video footage, etc.).
Conducting Interviews
Interview the complainant, respondent, and relevant witnesses separately.
Ask open-ended questions and document responses thoroughly.
Maintain confidentiality and prevent retaliation against participants.
Reviewing Evidence and Making Findings
Analyze all collected information objectively.
Document the findings with factual evidence, avoiding personal opinions or assumptions.
Determine if workplace policies or laws were violated.
Taking Action and Implementing Resolutions
If misconduct is confirmed, apply appropriate disciplinary action (e.g., warnings, termination, retraining, policy updates).
If no wrongdoing is found, ensure that all parties are professionally informed of the outcome.
Provide recommendations to prevent future occurrences.
Defined and implemented measures necessary to establish or re-establish harmonious working relationships amongst individuals and within the team, group, or unit.
Communicating the Outcome and Following Up
Share investigation results with the relevant parties while maintaining confidentiality.
Offer support to affected employees, such as counseling or mediation.
Monitor the workplace environment to prevent retaliation or ongoing conflicts.
Legal Considerations for Workplace Investigations
Employers must comply with employment laws and ensure:
Investigations are unbiased and free from conflicts of interest.
Procedural fairness is followed to protect employees' rights.
Confidentiality is maintained as much as possible to prevent workplace disruptions.
Findings are documented thoroughly to protect against legal challenges.
Take the Next Step: Ensure Fair and Legal Workplace Investigations
Handling workplace complaints properly is critical to fostering a fair, compliant, and professional work environment. The law requires all organizations to have a policy on workplace harassment and violence. You also need a structured investigation process that supports the policy. If you lack either, now is the time to act.
The legal landscape becomes even more complicated when no formal complaint has been made, but there are indications of misconduct or signs of a toxic work environment.
🔹 Book a consultation with our HR legal team to develop a workplace policy and/or investigation strategy that aligns with legal best practices and company policies.
📞 Get in touch today to protect your workplace and employees.
