{"id":184,"date":"2019-01-09T09:00:17","date_gmt":"2019-01-09T16:00:17","guid":{"rendered":"https:\/\/www.complianceprime.com\/blog\/?p=184"},"modified":"2024-03-22T17:10:25","modified_gmt":"2024-03-22T11:40:25","slug":"how-to-conduct-effective-internal-investigations-in-the-workplace","status":"publish","type":"post","link":"https:\/\/www.complianceprime.com\/blog\/2019\/01\/09\/how-to-conduct-effective-internal-investigations-in-the-workplace\/","title":{"rendered":"How to Conduct Effective Internal Investigations in the Workplace"},"content":{"rendered":"<p>Any sizable business situation may arise when employees feel that his or her rights have been violated. Such violations may be regarding social issues or company policies. Even the company may feel that certain sections of employees or a specific employee are flouting policies and passing on sensitive information. In any such situation, business managers must be prepared to launch an <b>internal investigation in the workplace<\/b> that is comprehensive and objective.<\/p>\n<div style=\"color:#0E1851;margin-top:20px;font-size:28px;font-weight:bold;\">Related Webinars<\/div><div style=\"width:100%;height:auto;overflow:hidden;overflow-x:auto;margin:20px 0;\"><div style=\"width:calc(3 * 260px);\"><div style=\"width:250px;height:350px;background-color:#D2E0FF;background:url(https:\/\/www.complianceprime.com\/assets\/images\/wdt-back.png);background-repeat:no-repeat;background-size:cover;border-radius:10px;margin-right:10px;float:left;text-align:center;padding:25px 10px 0 10px;cursor:pointer;\" onclick=\"location.href='https:\/\/www.complianceprime.com\/details\/1810\/cybersecurity-2026?utm_source=cp_blog'\"><img decoding=\"async\" style=\"width:135px;height:135px;border-radius:50%;border:2px solid #2B58B5;padding:3px;\" 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263.2 120.8 256 112 256H80C71.16 256 64 263.2 64 272V304zM192 304C192 312.8 199.2 320 208 320H240C248.8 320 256 312.8 256 304V272C256 263.2 248.8 256 240 256H208C199.2 256 192 263.2 192 272V304zM336 256C327.2 256 320 263.2 320 272V304C320 312.8 327.2 320 336 320H368C376.8 320 384 312.8 384 304V272C384 263.2 376.8 256 368 256H336zM64 432C64 440.8 71.16 448 80 448H112C120.8 448 128 440.8 128 432V400C128 391.2 120.8 384 112 384H80C71.16 384 64 391.2 64 400V432zM208 384C199.2 384 192 391.2 192 400V432C192 440.8 199.2 448 208 448H240C248.8 448 256 440.8 256 432V400C256 391.2 248.8 384 240 384H208zM320 432C320 440.8 327.2 448 336 448H368C376.8 448 384 440.8 384 432V400C384 391.2 376.8 384 368 384H336C327.2 384 320 391.2 320 400V432z\" id=\"mainIconPathAttribute\" stroke-width=\"1\" stroke=\"#ff0000\" filter=\"url(#shadow)\" fill=\"#FB0351\"><\/path><filter id=\"shadow\"><feDropShadow id=\"shadowValue\" stdDeviation=\".5\" dx=\"0\" dy=\"0\" flood-color=\"black\"><\/feDropShadow><\/filter><filter id=\"shadow\"><feDropShadow id=\"shadowValue\" stdDeviation=\".5\" dx=\"0\" dy=\"0\" flood-color=\"black\"><\/feDropShadow><\/filter><\/svg><\/div><div style=\"float:left;margin-left:5px;font-size:12px;font-weight:bold;color:#FB0351;\">May 27th 2026 @ 01:00 PM ET<\/div><div style=\"clear:both;\"><\/div><\/div><div style=\"font-size:12px;color:#2B58B5;margin-top:-10px;\"><strong>Speaker: <\/strong>Burton Kelso, The Technology Expert<\/div><div style=\"width:120px;text-transform:uppercase;font-size:12px;color:#FB0351;border:2px solid #FB0351;border-radius:30px;padding:1px 5px;margin:10px auto;\">Learn More<\/div><\/div><div style=\"width:250px;height:350px;background-color:#D2E0FF;background:url(https:\/\/www.complianceprime.com\/assets\/images\/wdt-back.png);background-repeat:no-repeat;background-size:cover;border-radius:10px;margin-right:10px;float:left;text-align:center;padding:25px 10px 0 10px;cursor:pointer;\" 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85.49 21.49 64 48 64H96V32C96 14.33 110.3 0 128 0C145.7 0 160 14.33 160 32zM0 192H448V464C448 490.5 426.5 512 400 512H48C21.49 512 0 490.5 0 464V192zM64 304C64 312.8 71.16 320 80 320H112C120.8 320 128 312.8 128 304V272C128 263.2 120.8 256 112 256H80C71.16 256 64 263.2 64 272V304zM192 304C192 312.8 199.2 320 208 320H240C248.8 320 256 312.8 256 304V272C256 263.2 248.8 256 240 256H208C199.2 256 192 263.2 192 272V304zM336 256C327.2 256 320 263.2 320 272V304C320 312.8 327.2 320 336 320H368C376.8 320 384 312.8 384 304V272C384 263.2 376.8 256 368 256H336zM64 432C64 440.8 71.16 448 80 448H112C120.8 448 128 440.8 128 432V400C128 391.2 120.8 384 112 384H80C71.16 384 64 391.2 64 400V432zM208 384C199.2 384 192 391.2 192 400V432C192 440.8 199.2 448 208 448H240C248.8 448 256 440.8 256 432V400C256 391.2 248.8 384 240 384H208zM320 432C320 440.8 327.2 448 336 448H368C376.8 448 384 440.8 384 432V400C384 391.2 376.8 384 368 384H336C327.2 384 320 391.2 320 400V432z\" id=\"mainIconPathAttribute\" stroke-width=\"1\" stroke=\"#ff0000\" filter=\"url(#shadow)\" fill=\"#FB0351\"><\/path><filter id=\"shadow\"><feDropShadow id=\"shadowValue\" stdDeviation=\".5\" dx=\"0\" dy=\"0\" flood-color=\"black\"><\/feDropShadow><\/filter><filter id=\"shadow\"><feDropShadow id=\"shadowValue\" stdDeviation=\".5\" dx=\"0\" dy=\"0\" flood-color=\"black\"><\/feDropShadow><\/filter><\/svg><\/div><div style=\"float:left;margin-left:5px;font-size:12px;font-weight:bold;color:#FB0351;\">May 28th 2026 @ 01:00 PM ET<\/div><div style=\"clear:both;\"><\/div><\/div><div style=\"font-size:12px;color:#2B58B5;margin-top:-10px;\"><strong>Speaker: <\/strong>Vicki M. Lambert, CPP<\/div><div style=\"width:120px;text-transform:uppercase;font-size:12px;color:#FB0351;border:2px solid #FB0351;border-radius:30px;padding:1px 5px;margin:10px auto;\">Learn More<\/div><\/div><div style=\"width:250px;height:350px;background-color:#D2E0FF;background:url(https:\/\/www.complianceprime.com\/assets\/images\/wdt-back.png);background-repeat:no-repeat;background-size:cover;border-radius:10px;margin-right:10px;float:left;text-align:center;padding:25px 10px 0 10px;cursor:pointer;\" onclick=\"location.href='https:\/\/www.complianceprime.com\/details\/1829\/workplace-harrassment-2026?utm_source=cp_blog'\"><img decoding=\"async\" style=\"width:135px;height:135px;border-radius:50%;border:2px solid #2B58B5;padding:3px;\" src=\"https:\/\/www.complianceprime.com\/image.php?src=https:\/\/www.complianceprime.com\/uploads\/img_upload\/be9bd7c0b9625126f985b421036a9339.jpg&w=200&h=200&zc=1&s=1\" alt=\"Speaker\"><div style=\"color:#0E1851;margin-top:5px;font-size:18px;font-weight:bold;line-height:22px;max-height:65px;overflow:hidden;\">Handling Harassment & Discrimination Claims: A Step-by-Step HR Guide<\/div><div style=\"clear:both;\"><\/div><div style=\"margin:10px auto 0 auto;display:inline-block;\"><div style=\"width:20px;float:left;\"><svg xmlns=\"http:\/\/www.w3.org\/2000\/svg\" viewBox=\"0 0 448 512\" id=\"IconChangeColor\" height=\"16\" width=\"16\"><path d=\"M160 32V64H288V32C288 14.33 302.3 0 320 0C337.7 0 352 14.33 352 32V64H400C426.5 64 448 85.49 448 112V160H0V112C0 85.49 21.49 64 48 64H96V32C96 14.33 110.3 0 128 0C145.7 0 160 14.33 160 32zM0 192H448V464C448 490.5 426.5 512 400 512H48C21.49 512 0 490.5 0 464V192zM64 304C64 312.8 71.16 320 80 320H112C120.8 320 128 312.8 128 304V272C128 263.2 120.8 256 112 256H80C71.16 256 64 263.2 64 272V304zM192 304C192 312.8 199.2 320 208 320H240C248.8 320 256 312.8 256 304V272C256 263.2 248.8 256 240 256H208C199.2 256 192 263.2 192 272V304zM336 256C327.2 256 320 263.2 320 272V304C320 312.8 327.2 320 336 320H368C376.8 320 384 312.8 384 304V272C384 263.2 376.8 256 368 256H336zM64 432C64 440.8 71.16 448 80 448H112C120.8 448 128 440.8 128 432V400C128 391.2 120.8 384 112 384H80C71.16 384 64 391.2 64 400V432zM208 384C199.2 384 192 391.2 192 400V432C192 440.8 199.2 448 208 448H240C248.8 448 256 440.8 256 432V400C256 391.2 248.8 384 240 384H208zM320 432C320 440.8 327.2 448 336 448H368C376.8 448 384 440.8 384 432V400C384 391.2 376.8 384 368 384H336C327.2 384 320 391.2 320 400V432z\" id=\"mainIconPathAttribute\" stroke-width=\"1\" stroke=\"#ff0000\" filter=\"url(#shadow)\" fill=\"#FB0351\"><\/path><filter id=\"shadow\"><feDropShadow id=\"shadowValue\" stdDeviation=\".5\" dx=\"0\" dy=\"0\" flood-color=\"black\"><\/feDropShadow><\/filter><filter id=\"shadow\"><feDropShadow id=\"shadowValue\" stdDeviation=\".5\" dx=\"0\" dy=\"0\" flood-color=\"black\"><\/feDropShadow><\/filter><\/svg><\/div><div style=\"float:left;margin-left:5px;font-size:12px;font-weight:bold;color:#FB0351;\">Jun 4th 2026 @ 01:00 PM ET<\/div><div style=\"clear:both;\"><\/div><\/div><div style=\"font-size:12px;color:#2B58B5;margin-top:-10px;\"><strong>Speaker: <\/strong>Melissa Fleischer, Esq<\/div><div style=\"width:120px;text-transform:uppercase;font-size:12px;color:#FB0351;border:2px solid #FB0351;border-radius:30px;padding:1px 5px;margin:10px auto;\">Learn More<\/div><\/div><\/div><\/div>\n<p>Here are some tips on <b>how to conduct an investigation in the workplace<\/b>.<\/p>\n<h2>A Comfortable Level with Employee Helps<\/h2>\n<p>As the employee shoots off mail and letters regarding a violation, you need to initiate dialogue with him or her and empathize with the cause. The purpose is to establish a comfortable relationship with the employee. You need to respond properly to the queries raised by the employee. This is needed to ascertain the nature of the problem and make sure that you can assuage the feeling of the employee. You need to make him\/her understand that you understand the problem objectively.<\/p>\n<h2>Interview the employee<\/h2>\n<p>You need to have an initial interview with the employee. This will help you get an idea about the issue and whether you can resolve it informally. An information resolution to the satisfaction of the employee should be at the core of your effort. You need to launch an <b>internal investigation in the workplace<\/b> only when all the efforts at reconciliation fail. The interview can help you get to the facts and obtain answers for basic questions like What, Where, Who, Why, and When.<\/p>\n<h2>Educating the Employee<\/h2>\n<p>Difficult situations may evoke emotions and that may result in reprisals that can get out of control. This is why you need to convey to the concerned that:<\/p>\n<ul>\n<li>The company policy does not allow any reprisals even if there is a legitimate issue. It needs to be resolved at the level of proper authority within the organization.<\/li>\n<li>If it is felt that an <b>internal investigation in the workplace<\/b> is needed, she will be notified about it. You should also let her know who is going to conduct the investigation.<\/li>\n<li>Disclosure of information will be limited within the organization and prohibited outside the organization.<\/li>\n<li>It is her duty to keep the investigation confidential.<\/li>\n<li>The investigating authority would be getting back to her from time to time for updates and information. In essence, she should be ready to cooperate with the investigation as and when necessary so that a resolution can be achieved.<\/li>\n<li>Suggestions would be sought from her about her views to resolve the matter.<\/li>\n<li>She should also be made aware about <a href=\"https:\/\/www.mcinnescooper.com\/publications\/5-key-steps-for-a-proper-workplace-investigation-in-canada\/\" target=\"_blank\" rel=\"noopener\">steps<\/a> that will be followed in internal investigation.<\/li>\n<\/ul>\n<h2><b>Organize the investigation<\/b><\/h2>\n<p>You need to piece together the facts obtained from the employee and find out from records and plan an <b>internal investigation in the workplace<\/b> accordingly. You can call witnesses to testify after this stage to piece together the important elements of the incident or violation. Before examining the witnesses, you need to prepare by:<\/p>\n<ol>\n<li>Going through guidelines, policies and practices specific to the situation and <a href=\"https:\/\/www.complianceprime.com\/details\/147\/internal-investigations\">how to conduct an investigation in the workplace<\/a>. This may involve HR policy, ethics brochures, different manuals, benefits books etc.<\/li>\n<li>Determining which relevant records can help in the investigation. This may include employee\u2019s personnel files, performance appraisals, expense reports and documents generated from interviews of witnesses as well as the employee, etc.<\/li>\n<\/ol>\n<p>This is a very important step in assuaging the feelings of an aggrieved employee. You need to determine whether the alleged violation merits interim action.<\/p>\n<p>Above are certain ways to conduct an effective internal investigation in the workplace. This will help you to conduct an investigation without hurting anyone\u2019s dignity and respect and for creating a <a href=\"https:\/\/www.complianceprime.com\/blog\/2018\/06\/04\/motivations-available-at-workplace\/\">healthy<\/a> working environment.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Know how to conduct an internal investigation in the workplace without hurting anyone&#8217;s dignity and for an effective healthy working environment.<\/p>\n","protected":false},"author":4,"featured_media":185,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":"","_links_to":"","_links_to_target":""},"categories":[4],"tags":[14],"class_list":["post-184","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-hr-blog","tag-internal-investigation"],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/posts\/184","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/users\/4"}],"replies":[{"embeddable":true,"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/comments?post=184"}],"version-history":[{"count":1,"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/posts\/184\/revisions"}],"predecessor-version":[{"id":4897,"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/posts\/184\/revisions\/4897"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/media\/185"}],"wp:attachment":[{"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/media?parent=184"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/categories?post=184"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.complianceprime.com\/blog\/wp-json\/wp\/v2\/tags?post=184"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}