Senior Associate, Josh Cummings, and HR and Investigations Lead, Nadini Dukhu, share their perspective on when investigations should be initiated, how to determinate the appropriate approach and the key practices that help ensure a thorough, unbiased, and effective workplace investigation.

1. When should an employer conduct a workplace investigation?

Josh: I think it really starts the moment you receive a complaint or become aware of a possible policy breach. It could also be when there’s serious misconduct that might lead to discipline or expose the company to legal risk.

Nadini: I’d add that if there’s any chance the organization may need to rely on the findings later, that’s a strong signal to investigate. If there’s risk involved, whether legal, reputational, or people-related, it’s generally better to proceed with an investigation.

2. What are some key considerations when deciding if an investigation should be done internally vs externally?

Nadini: You have to look at whether the organization actually has the right skills internally. Experience really matters here. You also have to think about conflicts of interest, if the investigator has any relationship with the people involved, it can undermine the process.

If the issue is more specialized, like financial misconduct, you may need someone with that expertise. Also, timing is a big factor! You have to take into consideration whether internal resources realistically have the capacity to handle a thorough and fair investigation. If the investigation is not conducted in a timely fashion the parties involved are already under a lot of pressure and any delays would only add to their stress.

Josh: It also often comes down to the seriousness of the allegations and who’s involved. If a senior employee or someone from HR is the one being investigated, that’s when an external investigator should be brought in to avoid any perception of bias or influence.

3. What are some best practices, tips, strategies to implement during the investigation process to ensure a strong and effective investigation? 

Josh: Acting quickly is key. From there, it’s about identifying witnesses, gathering documents, and making sure everything is documented properly. Asking the right questions and follow-ups is also critical to really understand what’s going on. And of course, being transparent so people know what to expect.

Nadini: I’d say scoping is one of the most important steps. You need to be really clear on what exactly you’re investigating. That clarity helps everything else fall into place. Also, being a strong, active listener is key. Sometimes what’s initially shared doesn’t tell the full story, so taking the time to really listen can help uncover what’s underneath.

Empathy and flexibility also go a long way. You still need structure, but creating a space where people feel comfortable sharing information is critical. Finally, I would say that consistency is key. Both parties should be treated fairly throughout the process. You should always be able to explain and defend your approach if it’s ever questioned.

4. What are some implications when an investigation is not conducted properly?

Josh: There can be serious consequences. You could end up with lawsuits from the respondent or complainant (or both!) claiming damages for an improper investigation, in addition to constructive dismissal claims if things are handled poorly.

Nadini: Beyond legal risk, there’s a real people impact on your people and your ability to retain them. Employees may lose trust and decide to leave if they feel the process wasn’t fair. That can affect morale across the organization too as word tends to spread quickly.

There’s also the risk of getting the outcome wrong, like terminating someone when you shouldn’t have. In unionized environments, that could mean reinstatement, back pay, and damages. In non-union settings, it could still lead to higher severance costs and not to mention reputational damage, especially if things become public.

5. Are there any other important legal or HR considerations when thinking about workplace investigations?

Josh: From a legal standpoint, one of the most important things to keep in mind is that your investigation may later be scrutinized in a legal claim. If an employee brings forward a wrongful dismissal claim, the employer will often rely on the investigation to show that it acted reasonably and in good faith.

That means the process needs to be procedurally fair. The employee should have a real opportunity to respond to allegations, the decision-maker should be impartial, and the conclusions should be grounded in the evidence gathered. If those elements are missing, a court or tribunal may give little weight to the investigation.

Nadini: One thing I’d flag is policies; they need to be practical and defensible. If policies are too rigid, they can actually restrict how you respond in certain situations. It’s also important to think beyond the investigation itself. What steps will you take afterward to rebuild trust and restore the workplace?

Documentation is critical at every stage. You should keep thorough records, as they may be needed later. Timelines matter too, especially in places like Ontario, where there are expectations around when outcomes must be communicated to both parties. So it’s not just about conducting the investigation, but also about how you close it out.

Throughout the entire process, it’s essential to balance structure with empathy. Early interactions set the tone and can influence how comfortable people feel coming forward or sharing information.

If you are navigating any of the issues outlined above or have any employment law concerns, please feel free to contact Rodney Employment Law at info@rodneyemploymentlaw.com or by completing our contact form here.