What to Expect During a Workplace Investigation

Workplace investigations are complex, multi-stage processes that require careful handling. They involve interviews, in-depth research, analysis, and the preparation of a final report of findings, which employers can use to determine the next steps.

Role of the Investigator

At HR Proactive, our investigators bring extensive experience in employment standards, human rights, and law enforcement. They act as impartial factfinders, conducting thorough investigations by speaking with the complainant, the respondent, and any relevant witnesses. The investigator will begin by speaking with the client, reviewing the complaint (if one has been filed, although a formal written complaint is not required to initiate an investigation), and assessing any applicable policies and procedures. The investigator’s goal is to understand what occurred and determine whether any substantiated findings breach existing workplace policies.

Who Should Lead the Investigation?

Who conducts the investigation depends on the circumstances. HR professionals often lead these investigations, but if greater independence is needed, it may be appropriate to bring in an external investigator. Legal counsel may also conduct an investigation, although this could affect their ability to represent the company in subsequent litigation.

The investigator then gathers evidence, assesses its relevance, and prepares a confidential report that evaluates how the evidence aligns with the organization’s internal policies and applicable human rights or occupational health and safety legislation.

Investigation Procedure

• Filing the Complaint: The complainant submits a formal written complaint, following the employer’s established policies and procedures.
• Response from the Respondent: The respondent receives a copy of the complaint, reviews it, and submits a written response.
• Provision of Documentation: The employer provides the investigator with the complainant’s statement, the respondent’s response, and any supporting documentation.
• Interviews with the Complainant: The investigator conducts a confidential interview with the complainant to gather further details. The complainant reviews the interview notes, makes any necessary corrections, and confirms the accuracy of the information.
• Interviews with the Respondent: The investigator interviews the respondent confidentially to gather additional information. The respondent reviews their interview notes, suggests corrections if needed, and confirms the accuracy of the information in writing.
• Witness Interviews: The investigator interviews any witnesses to the alleged harassment confidentially. Witnesses review the interview notes, propose any necessary adjustments, and confirm in writing the accuracy of the information.
• Follow-up on New Information: Both the complainant and respondent are given opportunities to respond to any new information or allegations that arise during the investigation.
• Clarifications and Additional Information: If there are any outstanding questions, the investigator may seek further clarification from the parties involved. Additional information may be submitted within a specified timeframe to ensure it is included in the final report.

Evidence and Analysis

Investigators will review any additional evidence or documents that could support their findings, such as emails, text messages, recordings, or any other relevant materials. Based on this review, investigators can assess credibility and determine whether the evidence supports the account of the incident.

Final Report and Next Steps

Once the investigation is complete, the investigator will prepare a comprehensive report. If requested, the investigator will assess how the findings relate to workplace policies, helping to identify any violations. 

The employer then decides how to proceed-whether to take disciplinary action, offer Respectful Workplace training, or take no action at all. The findings may also reveal flaws in workplace policies and highlight areas where additional training or policy updates may be needed to prevent future incidents.