Wondering when to conduct a formal investigation in the workplace? 

In this post, we will share when a complaint or issue must be investigated to ensure complaints are handled fairly, comply with legal requirements, and maintain a positive work environment. 

As a general rule, if the allegations are true, does the behavior breach company policy or legislation?  If the answer is yes, the employer is responsible to conduct an investigation or obtain a third party to conduct an investigation.  

 

Below you will find a more detailed breakdown of when investigations are typically triggered: 

 

Harassment and Discrimination Complaints: Allegations of harassment (sexual or otherwise) and discrimination based on race, gender, age, religion, disability, or other protected characteristics often require formal investigation to determine the validity of the claims and take appropriate action.
  

Employee Misconduct: Instances of employee behavior that violate company policies, such as theft, fraud, or other unethical activities, typically necessitate a thorough investigation to understand the scope and implications of the misconduct.
  

Workplace Violence: Any report of physical violence, threats, or aggressive behavior in the workplace must be investigated immediately to ensure the safety of all employees.
  

Policy Violations: Violations of company policies, including breaches of confidentiality, misuse of company resources, or violations of safety protocols, can trigger investigations to determine the extent of the breach and necessary corrective measures.
  

Health and Safety Concerns: Issues related to workplace safety, such as accidents, unsafe working conditions, or non-compliance with Occupational Safety and Health Administration (OSHA) regulations, may lead to investigations to prevent future incidents.
  

Substance Abuse: Allegations or evidence of drug or alcohol use in the workplace often require investigations, particularly if the behavior affects job performance or workplace safety.
  

Whistleblower Complaints: Reports of unethical or illegal activities within the organization, brought forward by whistleblowers, require careful investigation to address the issues raised while protecting the whistleblower from retaliation.
  

Disputes Between Employees: Conflicts or disputes between employees that escalate or disrupt the workplace environment may lead to investigations to resolve the issues and restore workplace harmony.
  

Retaliation Claims: If an employee claims they have been retaliated against for engaging in protected activities, such as filing a complaint or participating in an investigation, HR must investigate these claims to ensure compliance with laws protecting employees from retaliation.
 

Performance Issues: While less common, significant and unexplained drops in employee performance, especially if linked to potential underlying issues like discrimination or harassment, might lead to an investigation. 

 

Risks of Not Conducting a Workplace Investigation:

Damage to Trust, Culture, and Morale 

1. Employees may feel unsafe, unheard, or undervalued. 
2. Perception of favoritism or inaction can erode organizational culture. 
3. Productivity and engagement often decline. 

 

Legal Ramifications 

1. Failure to investigate can lead to legal liability in cases of harassment, discrimination, or misconduct. 
2. Courts and tribunals have ruled against employers who failed to act appropriately, leading to financial penalties and reputational harm. 

 

Escalation of Conflict or Misconduct 

1. Unchecked issues often worsen, leading to a toxic environment or further violations. 
2. Early intervention can prevent recurring problems. 

 

Loss of Talent 

1. High performers may leave if they perceive the workplace as unfair or unsafe. 
2. Recruitment may suffer due to a damaged employer brand. 

 

Reputational Damage 

1. Media exposure or word-of-mouth can tarnish an organization’s public image. 
2. Loss of trust from clients, stakeholders, or the public can have long-term impacts. 

 

Workplace investigations play a crucial role in upholding fairness, safety, and accountability within any organization. Knowing when to investigate ensures that employee concerns are addressed appropriately and that the organization remains compliant with legal and ethical obligations. By responding promptly and thoroughly to valid complaints or red flags, employers can protect both their people and their reputation. If in doubt, it’s always better to err on the side of caution and seek guidance—because how an organization handles complaints speaks volumes about its culture, values, and mitigating further legal risks. 

 

Erin MacNeil is a Human Resources Partner with uptreeHR Inc, a trusted human resources partner for small to medium-sized businesses. Erin and the team are based in Halifax, Nova Scotia.                                                                                         

To book a complimentary 30-minute consult with the uptreeHR team, click here.