Ethical employee behavior is vital for the reputation and productivity of your organization. According to Ethics.org, in 2020 only 1 in 5 employees felt that their workplace had a strong ethical culture. However, IBE reported that as the pandemic hit the country in full force, over a third of employees noticed an improvement in their organization’s ethical standards.
Simply introducing an ethics program is not enough to ensure all investigations in the workplace are treated as such. It’s up to human resources (HR) and employee relations (ER) departments to guarantee that the conduct of their employees remains within the organization’s ethical standards and that, in the event of an investigation, it is conducted in the right manner. With proper planning and implementation of best practices, you can promote an engaged workforce that actively supports the purpose of the organization and strives to be effective, ethical — and productive — members of the team.
What is an Ethical Investigation?
Let’s clear up a common source of confusion: an ethical investigation isn’t the same as an ethics investigation. An ethics investigation looks into whether someone’s actions violated ethical guidelines—think of it as the what behind workplace misconduct. An ethical investigation, on the other hand, is all about the how—making sure the entire investigative process is handled with integrity, fairness and transparency. The main purpose of an ethical investigation is to provide a fair evaluation of what happened, why it happened and how employers can prevent it in the future. This process typically begins with a thorough examination of all aspects surrounding the case, including identifying the wrong, who was involved and why it happened.
At its core, an ethical investigation ensures that every step, from gathering facts to making decisions, is unbiased, consistent and respectful of everyone involved. It’s not just about reaching the right conclusion—it’s about how you get there. That means protecting confidentiality, following clear protocols and treating employees with dignity. When investigations are handled ethically, employees are more likely to trust the process, speak up when issues arise and believe in their organization’s commitment to fairness. And that’s how you build a workplace where people feel safe, heard and valued.
An Overview of Ethical Investigations in the Workplace
Conducting an ethical investigation is important for all organizations as it can help to ensure that the company remains honest, trustworthy and aligned with its ESG (environmental, social and governance) policies. An established investigation strategy helps to identify the problems within the organization so that they can be resolved quickly.
Your ethics program should include the ethical considerations (policies and principles) that employees must follow during an investigation. Examples of ethical considerations include professionalism, effective communication, respect for all colleagues, ensuring confidentiality, and following all rules and policies of the organization. Your program will also outline the investigation process for instances of misconduct.
How to Conduct an Ethical Investigation
HR departments are often the first to know about a workplace investigation and play a key role in determining what should happen next. They can create a foundation for ethical investigations by following these steps:
- 1. Identify the appropriate person to conduct an investigation.
- 2. Conduct preliminary interviews with employees.
- 3. Gather facts and evidence.
- 4. Analyze information and reach a conclusion.
- 5. Present findings to senior management.
- 6. Implement corrective action plans.
- 7. Follow up on any recommendations or information obtained via the investigation.
To ensure that the investigation remains within your ethics policies, you can aim the investigation steps to follow specific protocols so they’re being interpreted the right way and there is no passing of any blame or unrelated information.
Make sure your investigation is:
- Fair in how it gathers its key findings and inflicts discipline.
- Timely in its process for collecting information.
- Using an investigator who is neutral to the outcome of the investigation.
- Escalated to a third party where complex issues require and when appropriate.
- Accurately recorded throughout the entire process to look back on, review, and use in determining a course of action and reports.
6 Tips for Completing a More Ethical Investigation
An ethical investigation isn’t about assigning blame—it’s about uncovering the facts in a way that is fair, impartial and respectful. Employee Relations leaders play a key role in ensuring investigations are handled with integrity, balancing the need for thorough fact-finding with a commitment to transparency and trust. Here’s how to make sure your investigations meet the highest ethical standards.
Lay the Groundwork for Ethical Investigations
A strong foundation is key to ensuring investigations are handled ethically from the start. HR and ER teams can create this foundation by:
- Providing regular training on workplace ethics, including what happens when a case is opened
- Building a culture of transparency and accountability
- Establishing open lines of communication between employees and management
- Adopting a zero-tolerance policy for unethical behavior
When employees understand what’s expected and feel supported in speaking up, investigations become less about damage control and more about reinforcing a culture of fairness.
Communicate Clear Expectations
Clarity is everything. Employees need to understand what’s expected of them—not just in their daily work, but when it comes to reporting concerns. Policies should be written in plain, accessible language, leaving no room for ambiguity or loopholes.
ER leaders are also responsible for making sure employees know how and when to report misconduct. Not all issues are equal—there’s a big difference between someone cutting out early on a Friday and witnessing harassment or discrimination. Clearly outlining different types of concerns and the appropriate reporting channels ensures employees can make informed decisions when they see something that doesn’t sit right.
Encourage Employees to Come Forward
Many employees hesitate to report issues because they’re unsure if their concerns are valid, fear retaliation or simply don’t know where to turn. Organizations can break down these barriers by:
- Making reporting processes clear, accessible and well-communicated
- Reassuring employees that they will be protected from retaliation
- Creating a culture where speaking up is seen as an act of integrity, not risk
Investigations aren’t just for high-profile cases—every employee should feel empowered to report concerns, no matter how big or small. The more accessible the process, the more likely people will come forward when it matters most.
Be Prepared with a Plan
Even the most well-run organizations will face situations that require an investigation. The key is to be ready. A well-defined, formalized investigation plan ensures consistency and reduces the risk of missteps that could damage trust or harm your organization’s reputation. Having clear protocols in place for how cases are handled—from intake to aftercare—helps ensure fairness, efficiency and compliance with company policies and legal standards.
Select the Right Investigator
Who leads an investigation matters just as much as the process itself. The investigator should be impartial, well-trained and free from any conflicts of interest. To maintain ethical integrity, they must also:
- Keep all details confidential
- Disclose any potential biases or conflicts
- Follow standardized investigative procedures
A strong, unbiased investigator builds credibility in the process and ensures findings are based on facts, not assumptions or personal perspectives.
Focus on Credibility
The goal of an investigation isn’t to gather every possible piece of proof; it’s to assess credibility and reach a fair conclusion based on the available facts. Given that not all evidence is concrete, investigators should consider:
- Whether an account is consistent and plausible
- How much supporting evidence exists for different perspectives
- Whether the likelihood of an event occurring is greater than 50%
By focusing on credibility rather than an impossible standard of absolute proof, ER leaders can make fair, ethical decisions that reinforce trust in the process.
Balancing Compliance in the Investigation
By definition, compliance is a process of fulfilling legal obligations and duties. In order to maintain an ethical workplace, employers must have policies in place that protect their employees from harassment, discrimination and retaliation. They must also train HR managers and supervisors on how to deal with these issues when they arise.
Certain behaviors are considered unethical in the workplace, such as nepotism, bribery and discrimination. These conducts are illegal and can have severe consequences for the organization. There is not one specific ethical code that fits all. While customizing based on your specific industry and employee needs, there are three different types of ethical codes that you should incorporate into your company.
- A code of conduct defines what behaviors are not tolerated in the workplace as well as how to handle conflict in the workplace.
- An ethics policy outlines what behaviors are considered unethical and how to report them if they happen.
- A corporate social responsibility policy summarizes how the business operates with regard to society and the environment.
It’s key to implement a code of ethics that covers various issues and provides guidelines for employees to follow if they are unsure about their actions. Your code of ethics can be incorporated into your employee handbook along with the code of conduct and corporate social responsibility policy. A copy of the entire handbook should be provided to each employee and reviewed periodically to provide each person with their role in ensuring compliance. It also connects employees with the purpose of each policy in the best interest of themselves and the organization.
Improve the Investigation Process with HR Software
Conducting ethical investigations isn’t just about good intentions—it requires a structured, consistent approach. That’s where the right technology makes all the difference. HR Acuity’s investigation management software ensures every step of the process is fair, transparent and aligned with best practices. From standardized workflows that eliminate bias to built-in documentation that ensures compliance, our platform helps ER teams conduct investigations with integrity and confidence.
With HR Acuity, organizations can securely track cases, maintain confidentiality and ensure accountability at every stage. Automated workflows help prevent inconsistencies, while detailed reporting and analytics provide the insights needed to spot trends and improve workplace policies. When employees trust that investigations are handled ethically and professionally, they’re more likely to report concerns—creating a workplace where issues are addressed proactively and fairly.
Ready to take the first step? Book time with our team here.
