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Conduct Thorough and Compliant Workplace Investigations 

Whether you plan to work alongside investigators or become one yourself, a Master of Legal Studies with a focus on human resources and risk management can provide valuable insight into the complexities of employment law. 
Conduct Thorough and Compliant Workplace Investigations 

By Miami Law Blog Contributor

Today's employers go to great lengths to protect and empower workers. Compliance programs establish strict policies, ensuring that organizations meet legal and ethical obligations while cultivating safe and respectful workplaces.

These programs are guided by regulatory requirements and industry best practices, as well as accountability mechanisms that ensure policies are consistently enforced. Any violations must be addressed promptly to mitigate legal risks and protect impacted employees.

This is where workplace investigations come into play. Offering a systematic approach to addressing workplace issues, this process allows employers to determine whether policies have been violated and the scope of the misconduct. Successful investigations deliver accountability and provide strategic value, reinforcing organizational values while promoting a culture of fairness and integrity.

Understanding Workplace Investigations

Investigations are a common workplace phenomenon, even among well-run organizations that prioritize compliance and risk management. These investigations serve a critical purpose: they establish a standardized process for examining allegations of misconduct.

Definition and Purpose of Workplace Investigations

Workplace investigations involve the systematic gathering of evidence, with the goal of determining whether policies have been violated and clarifying the facts surrounding alleged incidents. Structured and impartial, these investigations are driven by clearly established objectives and scopes. The facts of each case, meanwhile, are determined by gathering and analyzing evidence — and further supported by witness interviews.

Common Types of Workplace Misconduct

Workplace misconduct occurs when employee behavior violates ethical standards or workplace policies. This can have profound consequences, including harm to employees, reduced workplace morale, and reputational damage. Examples of potential misconduct include:

  • Discrimination or harassment
  • Safety violations
  • Theft or fraud
  • Breaches of confidentiality

Legal and Regulatory Requirements in the U.S.

In the U.S., a complex series of workplace laws determine when investigations are needed and how they should be carried out. These frameworks aim to safeguard employees and consumers, but they can be difficult to follow or understand due to their scope. Examples include:

  • Anti-discrimination and anti-harassment laws. Protecting employees from mistreatment, anti-discrimination and anti-harassment laws prohibit hiring decisions on the basis of protected characteristics. Federal standards address situations in which harassment becomes "severe or pervasive enough to create an objectively hostile or abusive work environment." Title VII of the Civil Rights Act is one of the most influential, prohibiting discrimination on the basis of race, national origin, sex, or religion.

Recognizing When an Investigation Is Required

Not all difficult situations warrant formal workplace investigations. Some complaints — such as minor interpersonal conflicts— can be resolved through other means, such as conversations with managers or coaching. Investigations carry considerable operational costs, potentially disrupting teams or undermining workplace morale. For this reason, it is important to verify the necessity of any proposed investigation.

Triggers for a Formal Investigation

Formal workplace investigations are more likely to occur if complaints present significant legal implications — or if they could potentially compromise the safety of other team members. While there is often considerable nuance involved when determining whether a formal investigation is needed, certain incidents or events qualify as triggers.

Referencing the decision to conduct an investigation, the Association of Workplace Investigators (AWI) highlights a couple of guiding principles:

  • The facts of the case are in dispute and "implicate legal [or] policy" concerns.
  • The allegations relate to the complainant's protected class.

Differentiating Between Informal and Formal Complaints

Both informal and formal complaints warrant attention, but formality can influence how various complaints are addressed.

Assessing the Severity and Urgency

Before initiating a formal workplace investigation, leaders should assess whether the concern is serious enough to demand a structured, evidence-based process.

Selecting the Right Investigator

Internal vs. External Investigators

Many organizations hire internal professionals for the purpose of conducting workplace investigations.

Key Qualifications and Skills

Effective investigators possess an in-depth understanding of workplace rules and regulations.

Many workplace investigators hold degrees in HR or develop legal expertise via programs such as the M.L.S. Academic credentials are frequently complemented by targeted certifications from the Association of Workplace Investigators (AWI).

Ensuring Investigator Independence

Workplace investigator independence can only occur when there’s no undue influence or conflicts of interest, as issues could fuel bias.

Preparing for the Investigation

Defining the Scope and Objectives

The goal of the investigation in question may seem obvious, especially if the investigation is triggered by a particular incident.

Developing Investigation Plans and Timelines

Plans and timelines form critical blueprints for the investigation process.

Notifying Involved Parties and Ensuring Support

All individuals involved in the investigation must be notified in advance.

Conducting the Investigation Process

Gathering Evidence and Documentation

Without concrete evidence, workplace allegations depend on hearsay or subjective information.

Conducting Effective Interviews

Evidence alone, although useful, may not tell the full story.

Maintaining Objectivity and Impartiality

Investigators, HR teams, and compliance officers should resist the urge to jump to conclusions.

Best Practices for a Compliant Investigation

Confidentiality and Privacy Considerations

Conducting workplace investigations usually requires dealing with sensitive information.

Ensuring Fairness and Due Process

The concept of due process is not only relevant in courtroom settings.

Keeping Accurate Records and Notes

Workplace investigations tend to produce high volumes of documentation.

Concluding the Investigation

Analyzing Findings and Drawing Conclusions

Once all relevant information has been secured, investigators typically shift their focus toward analysis.

Writing a Comprehensive Investigation Report

  • Summary of the complaint or allegations
  • Information about witnesses and credibility assessments
  • Details surrounding the types of evidence or documentation considered
  • Findings and explanations that remain within the scope of the investigation

Communicating Outcomes and Next Steps

Once reports have been completed and submitted, organizational leaders direct next steps.

Lead With Integrity: How the M.L.S. Reveals the Secrets to Workplace Compliance

Learn to promote a positive and compliant workplace that helps employees feel supported and valued. Whether you aspire to collaborate with investigators or serve as one, you can benefit from a specialized legal education that exposes you to the nuances of employment law. The University of Miami School of Law offers a realistic pathway via the Master of Legal Studies (M.L.S.) and the targeted Employment Law and Human Resources Risk Management Track.

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