Internal investigations are among the most challenging tasks an employer will face. However, investigating internal complaints of discrimination and harassment is also one of your most critical responsibilities.
These investigations carry significant legal risks. mishandling an employee’s internal complaint can have serious implications for your company, your staff, and your ability to maintain a safe work environment.
An unprofessional investigation can lead to lawsuits from anyone involved, including the employee who made the complaint. Therefore, it is crucial for every company—regardless of size—to handle these sensitive matters correctly from start to finish.
What is an internal investigation?
An internal harassment investigation is the process where a company assesses an employee’s claim of discrimination or harassment. The primary goal is to determine whether the complaint is legitimate based on facts.
How a company conducts this investigation often depends on several factors:
- The type of complaint being made.
- The number of employees involved.
- The specific nature of the allegations.
- The company’s available resources and culture.
A thorough investigation typically includes taking witness statements, interviewing the parties involved, and reviewing documentation to determine if a violation occurred.
When are internal investigations required?
Employers are generally required to investigate a complaint if it involves discrimination or harassment based on protected characteristics. These include:
- Race, color, or national origin.
- Religion or political beliefs.
- Sex (including sexual harassment, pregnancy, and breastfeeding).
- Age, disability, or genetic information.
- Veteran status or other protected attributes.
While a complaint can be made verbally, formal investigations usually commence once a written complaint is received.
Defining the scope of an internal investigation
To ensure a fair process, the scope of an investigation should be defined in writing before you begin. This document should include:
- The target completion date.
- The individuals to be interviewed.
- Relevant documents to be reviewed.
- Other logistical factors, such as the location of the employees involved.
When investigators are assigned to a complaint, they must be clearly informed of this scope to prevent “scope creep” or procedural errors.
Investigating a discrimination or harassment complaint
Employers must investigate alleged incidents promptly and thoroughly. The process must be designed to objectively determine whether the discrimination or harassment actually occurred.
If the investigation confirms the allegations: The behavior should be stopped immediately, and appropriate disciplinary action must be taken.
If the allegations are not substantiated: The company must communicate the results clearly to all parties. You should also take proactive steps to protect against future incidents or retaliation.
Takeaways
The results of an internal investigation have serious implications for your company’s ability to maintain a safe working environment. Improper handling can lead to lawsuits from the accuser or the accused.
Ultimately, the goal is to produce a result that is fair to everyone. Appropriate action should be taken in response to violations, but employees who are not in violation must not be subject to unfair disciplinary action.
Need Professional Guidance?
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Common Questions
Who should conduct the investigation?
It must be someone impartial. If an internal manager has a relationship with either party, you should engage an external investigator to ensure the “Bias Rule” is not breached.
How quickly must we act?
You must act “promptly.” Delaying an investigation can be seen as condoning the behavior and may increase your legal liability.
Can I fire an employee immediately?
Rarely. Even in cases of serious misconduct, you must provide procedural fairness (the “Hearing Rule”) and allow them a chance to respond to allegations before termination.