JUNE 02, 2025

Five Essential Elements of Legally Compliant Workplace Investigations: Strengthening Your DEI Framework

Today, DEI is not simply a catchy buzzword, it is a business driver. In a recent statement to MarketWatch, Sarah Kate Ellis, president and CEO of LGBTQ advocacy group GLAAD, addressed the reaction to Target downgrading its DEI strategy:

“With the LGBTQ community wielding $1.4 trillion in spending power, and the fastest growing consumer segments being Black, Latine, and younger consumers, it’s no surprise that Target’s bottom line is down. Other companies must take note: Prices and value are one thing, but to grow your business, you need to look at your values.”

Major corporations like Coca-Cola and Merck have made it clear they are committed to diversity, rejecting anti-DEI proposals even amid political scrutiny. These companies recognize that their shareholders and consumers expect inclusive workplace practices. Merck, for example, reinforced its position by stating that DEI initiatives “enable us to fully execute on the scientific method and catalyze contributions and innovations from across our enterprise.” According to a NerdWallet study, 73% of Americans now say it’s important to buy from companies that align with their personal values. One of those values that is highly debated is the need for preventative and remedial policies for harassment in the workplace. When employees feel safe, respected, and heard, productivity increases, and retention improves. To foster a welcoming and equitable workplace, companies must adopt a structured and enforceable framework for addressing misconduct.

Elements of an Effective Process to Ensure Effective DEI Policies and Procedures

1. Mandatory Training
   1. Ongoing education is essential. Training must go beyond a one-time orientation and instead be integrated throughout an employee’s career. Use a combination of online modules, in-person seminars, and leadership engagement.
   2. Executive leadership must set the tone, actively participating in discussions and demonstrating commitment to a safe, respectful workplace.
   3. Clear reminders about policy violations and consequences should be frequent and consistent.
2. Due Process
   1. All employees deserve fair treatment when harassment or retaliation claims are filed. This means:
      1. A clearly communicated procedure
      2. An opportunity for both the complainant and the accused to be heard
      3. Timely, impartial, and thorough investigations.
   2. The purpose of this is to ensure trust in the workplace.
3. Neutrality
   1. Neutrality in handling complaints is highly critical. For that reason, investigators must be trained professionals, ideally external to the business. This includes:
      1. Avoiding conflicts of interest
      2. Ensuring objectivity and confidentiality
      3. Providing third-party experts when necessary
4. Documentation
   1. Requiring adequate documentation maintains accountability and the business’ legal protection. Best practices include:
      1. Logging each complaint and report
      2. Recording all interviews and findings
      3. Justifying decisions with factual evidence
      4. Retaining all relevant materials in compliance with company policy and legal requirements.
5. Nondiscretionary Removal for Violations
   1. This means that once an investigation confirms a substantiated harassment or discrimination claim, appropriate disciplinary action must follow, with no exceptions.
   2. This eliminates ambiguity, reinforces zero-tolerance standards, and demonstrates that no individual is above the rules, regardless of position or tenure.

Partner with Us for Compliance and a Culture of Respect

The Law Office of Bhavleen Sabharwal provides comprehensive legal guidance to organizations implementing robust DEI policies and procedures, offering tailored workplace investigation frameworks, compliance audits, management training programs, and ongoing legal support to ensure your DEI initiatives are both legally sound and effectively integrated into your corporate culture. Our experienced team can help your organization navigate the complexities of creating investigation protocols that adhere to the five essential elements outlined above while mitigating legal risks and fostering an inclusive workplace environment.

Please subscribe to this blog to receive email alerts when new posts go up.