Steps of a Workplace Investigation (Flowchart Breakdown)

2/6/2026

When a serious complaint arises in the workplace, HR is tasked with a critical mission: to uncover the facts through a fair, impartial, and thorough investigation. This process can feel daunting, with a maze of legal requirements, sensitive interviews, and delicate decisions at every turn. A single misstep can compromise the entire investigation, leading to flawed conclusions, damaged morale, and significant legal exposure for the organization. To navigate this complex terrain successfully, a clear roadmap is essential.

Visualizing the investigation as a flowchart—a series of logical, sequential steps—can demystify the process and provide a structured framework to follow. This approach ensures that no critical stage is missed and that the investigation proceeds in a consistent and defensible manner. This guide breaks down the essential workplace investigation steps into a clear flowchart format, explaining the purpose and key actions required at each stage. Following this map is fundamental to achieving HR compliance and ensuring a just outcome for all parties involved.

The Workplace Investigation Flowchart: An Overview

A defensible investigation process can be broken down into five primary phases, each containing several key actions. Think of it as a logical progression from receiving the initial information to implementing the final resolution.

• Phase 1: Intake and Assessment
• Phase 2: Planning the Investigation
• Phase 3: Gathering Evidence
• Phase 4: Analysis and Reporting
• Phase 5: Conclusion and Follow-Up

We will now break down each of these phases step by step.

Phase 1: Intake and Assessment

This is the starting point. The entire investigation process is triggered by the receipt of a complaint or information suggesting misconduct. How you handle this initial phase sets the tone for everything that follows.

Step 1: Receive the Complaint

A complaint can arrive in many forms: a formal written document, an email to HR, a verbal report to a manager, or even an anonymous tip.

• Action: Acknowledge receipt of the complaint promptly. Document the date, time, who made the complaint, and the method of reporting. If the complaint is verbal, create a written summary and, if possible, have the complainant review it for accuracy. All complaints, regardless of how they are received, must be taken seriously.

Step 2: Triage the Complaint

Not every employee grievance warrants a full-scale formal investigation. The next step is to assess the severity and nature of the complaint to determine the appropriate response.

• Action: Evaluate the allegations. Are they related to a potential violation of law (e.g., harassment, discrimination), a significant breach of company policy (e.g., theft, safety violations), or a less severe interpersonal conflict?
• If Yes (Serious Allegation): Proceed to Step 3. A formal investigation is almost always required.
• If No (Minor Conflict): Consider alternative dispute resolution methods, such as coaching or mediation. However, document your reasoning for not launching a formal investigation.

Step 3: Assess the Need for Interim Measures

If the allegations are severe, you may need to take immediate action to protect employees and prevent any further potential harm while the investigation is pending.

• Action: Determine if interim measures are necessary to separate the parties involved. This is a crucial step for HR compliance, especially in harassment cases. Options include:
• Placing the accused on paid administrative leave.
• A temporary departmental or shift transfer.
• Arranging for one party to work remotely.
• Important: These are not disciplinary actions. They are preventative measures taken to ensure the integrity of the investigation process and the safety of the workplace.

Phase 2: Planning the Investigation

With the initial assessment complete, you move into the strategic planning phase. Rushing into interviews without a plan is one of the biggest mistakes in workplace investigations. A well-thought-out plan ensures your process is thorough, efficient, and focused.

Step 4: Select an Investigator

The credibility of the entire investigation hinges on the impartiality and competence of the investigator.

• Action: Choose an investigator who is neutral, well-trained, and has no personal or professional conflict of interest with the parties involved. In most cases, this will be a senior HR professional. For highly sensitive cases (e.g., allegations against an executive), engaging an experienced external investigator is a best practice. This is a core competency developed through formalWorkplace Investigation Training Program.

Step 5: Define the Scope

You need to clearly define what question(s) the investigation will answer. A narrow, well-defined scope prevents the investigation from spiraling into unrelated issues.

• Action: Write a clear scope statement. For example: "To determine whether the Respondent's conduct on or about November 15, 2025, violated the company's Code of Conduct policy regarding respectful communication." This statement will be the guiding star for your entire fact-finding mission.

Step 6: Create the Investigation Plan

This is your written roadmap. It documents your strategy and ensures you follow a consistent process.

• Action: Draft a formal investigation plan that includes:
• A summary of the allegations.
• The defined scope.
• A list of individuals to be interviewed (complainant, respondent, witnesses).
• A list of potential documentary or physical evidence to collect (e.g., emails, security footage, personnel files).
• An estimated timeline for completion.

Phase 3: Gathering Evidence

This is the fact-finding heart of the investigation. The goal is to collect all relevant information through interviews and the review of other evidence to build a clear picture of what occurred.

Step 7: Conduct Interviews

Interviews are the primary method for gathering information. They must be conducted in a specific order, using objective techniques.

• Action: Interview the Complainant First. The goal is to get their complete and detailed account. Explain the process, stress the no-retaliation policy, and use open-ended questions to elicit their full story. Identify all potential witnesses and evidence from their perspective.
• Action: Interview the Respondent (Accused) Next. Provide them with a summary of the allegations and give them a full and fair opportunity to respond to each one. Ask for any evidence or witnesses that can support their account.
• Action: Interview Witnesses Last. Speak with anyone who may have firsthand knowledge of the events. Focus questions on what they personally saw or heard, not on rumors or opinions.

Step 8: Gather Physical and Documentary Evidence

Testimony is critical, but it should always be cross-referenced with other forms of evidence.

• Action: Collect and review all relevant non-testimonial evidence identified in your plan. This may include:
• Electronic Evidence: Emails, server logs, instant messages.
• Company Records: Timecards, security access logs, personnel files, performance reviews.
• Physical Evidence: Security camera footage, handwritten notes, photographs.
• Action: Maintain a formal evidence log, documenting each item collected, its source, and the date it was reviewed. This is a key part of your investigation documentation.

Phase 4: Analysis and Reporting

Once all the evidence is collected, you transition from fact-finder to analyst. In this phase, you will weigh the evidence, make findings, and document everything in a formal report.

Step 9: Analyze Evidence and Assess Credibility

This is often the most challenging step. You must evaluate all the information, including conflicting accounts, and determine what is more likely than not to have happened.

• Action: Create a timeline of events. Compare witness statements against each other and against the physical evidence. Look for consistencies and inconsistencies.
• Action: Make credibility assessments based on objective factors: the plausibility of the accounts, the motives of the parties, corroboration by other evidence, and the consistency of the testimony. Your conclusion must be based on the "preponderance of the evidence."

Step 10: Make Findings of Fact

For each allegation, you must make a formal finding.

• Action: For each specific allegation from the complaint, state whether it is:
• Substantiated: You found it is more likely than not that the event occurred.
• Unsubstantiated: You found it is more likely than not that the event did not occur.
• Inconclusive: There is not enough evidence to make a determination either way.

Step 11: Write the Investigation Report

The final report is the official record of the entire investigation process. It is the primary document that will be used to support any subsequent actions and will be scrutinized in any legal challenge.

• Action: Draft a comprehensive, objective, and well-organized report that includes:
• An executive summary.
• The background and scope of the investigation.
• A summary of the investigation process.
• Objective summaries of all interviews and evidence.
• A detailed "Findings of Fact" section that explains the rationale behind each finding.
• A separate "Recommendations" section for corrective action.

Phase 5: Conclusion and Follow-Up

The investigation is not truly over when the report is written. The final phase involves implementing the decisions and ensuring the issue is resolved for the long term.

Step 12: Present Findings and Recommendations

The investigator presents the report to the decision-makers (typically senior management and/or legal counsel).

• Action: Review the report with leadership so they have a full understanding of the findings. The decision-makers will then determine the appropriate corrective action based on your findings and recommendations.

Step 13: Implement Corrective Action

The organization must take prompt and appropriate action that is consistent with the investigation's findings.

• Action: Implement the chosen corrective and remedial measures. This could range from coaching and training to disciplinary action, up to and including termination. The action must be designed to stop the misconduct and prevent it from recurring.

Step 14: Communicate with Parties and Close the Loop

It is critical to communicate the conclusion of the process to the complainant and the respondent.

• Action: Meet separately with the complainant and respondent. Inform both that the investigation is complete. You can tell the complainant that "appropriate action has been taken" but do not need to disclose specific disciplinary details. Inform the respondent of the findings and any discipline that affects them directly.

Step 15: Follow Up

To ensure the misconduct has stopped and to guard against retaliation, a final follow-up is necessary.

• Action: A few weeks after the investigation has closed, check in with the complainant. Ask if there have been any further issues or any perceived retaliation. Document this conversation. This final step demonstrates the company's ongoing commitment to a safe and respectful workplace.

Conclusion: From Flowchart to Proficiency

This flowchart provides a clear, logical sequence for every stage of a workplace investigation. By following these workplace investigation steps, HR professionals can ensure their process is thorough, fair, and compliant. This systematic approach helps remove uncertainty and emotion from a high-pressure situation, allowing you to focus on your role as an objective fact-finder.

However, simply knowing the steps is not enough. True proficiency comes from understanding the nuances within each step—how to ask the right questions, how to assess credibility, and how to write a defensible report. This is where dedicated workplace investigation training becomes invaluable. It provides the in-depth knowledge and practical skills needed to turn this flowchart from a simple diagram into a powerful tool for effective risk management and the promotion of a healthy, ethical workplace culture.