Workplace Investigation: Frequently Asked Questions

An investigation is required when indicated by law, policy, or practice. Consider the following to determine if an investigation is necessary: 

• Are key facts in conflict? 

• Are the allegations sustained and is there a policy violation?

• Is there a legal obligation to investigate? 

• Does the complaint involve discrimination or harassment, and is the complainant in a protected category? Even if not, if substantiated, would the conduct potentially violate company rules, ethics, or policies?

To ensure the integrity of an internal investigation, ask the following questions to assess the suitability of the person chosen to lead the process: 

• Have they worked closely with any of the involved parties?

• Are they aware of any prior complaints or gossip regarding the involved parties? 

• Have they had negative interactions with either party? 

• Are they investigating within their own reporting chain? 

• Are they in a higher-ranking position than the parties involved? 

• Does the case involve an executive-level respondent? 

• Do they have sufficient experience and knowledge of California employment law to conduct the investigation competently? 

• Can they produce a comprehensive report that includes credibility assessments and conclusions based on the facts and applicable policies? 

• Are they prepared to defend their findings in a deposition or courtroom? 
• Have they provided legal counsel to the organization?

If allegations involve serious misconduct such as violence, sexual harassment, or embezzlement, consider interim actions to protect your workplace. These may include: 

• Administrative leave, suspension, or transfer. 

• Schedule adjustments. 

• Counseling. 

• Temporary restraining orders.