Ensuring a workplace is compliant, transparent, and upholds ethical standards requires careful handling of internal violations such as misconduct, regulatory non-compliance, or unethical actions.
Poor management of these situations can lead to significant consequences that affect not only the specific case but also the broader organizational culture.
Here are five major mistakes to avoid when addressing internal violations:
1. Overlooking or Minimizing Initial Reports
A common and serious mistake is not giving proper attention to initial reports. Whether due to disbelief, a reluctance to confront conflict, or concerns about the organization’s public image, failing to take complaints seriously can undermine trust and create a culture where employees fear reprisal or doubt that their voices will be heard.
Neglecting early warnings can lead to minor problems escalating into significant issues that harm morale, create a toxic environment, and expose the company to legal and financial risks.
Case study:
Let's imagine that at a mid-sized tech company, a junior software developer, Alex, reports to HR that their manager, Chris, frequently makes dismissive comments about their ideas in team meetings. Alex
mentions feeling marginalized and worries about how it might affect their career growth. Instead of addressing the complaint seriously, HR assumes Alex is overreacting and chalks it up to a "misunderstanding." They suggest Alex talk to Chris directly, without conducting a proper investigation or following up.
Over the next few months, Alex notices no change in Chris's behavior. Other team members begin to share similar frustrations in private but hesitate to report them after hearing about Alex’s experience. Morale starts to dip, productivity declines, and eventually, one team member quits, citing the toxic environment in their exit interview. By the time senior management steps in, the team is struggling, and the company faces a potential lawsuit over claims of discrimination and retaliation.
By overlooking Alex’s initial report, the company missed the opportunity to address the problem early. This not only harmed employee trust and morale but also exposed the organization to legal and reputational risks that could have been avoided.
How Ethicontrol can help?
For this case study, Ethicontrol has solutions:- Reporting channels: Ethicontrol provides secure channels for employees to report issues, such as hotlines, web portals, email, etc.
- Incident prioritization: The system helps categorize and prioritize reports based on severity, ensuring serious complaints receive prompt attention.
- Notifications and tracking: Automatic notifications ensure that responsible parties are alerted immediately while tracking features prevent reports from being ignored or forgotten.
2. Performing Inadequate Investigations
Rushed or incomplete investigations compromise the integrity of the process and weaken the organization's dedication to accountability. Insufficient investigations might overlook critical evidence or fail to include essential witness testimonies, leading to unfair outcomes or unresolved problems.
To maintain trust, it is essential to use skilled professionals who carry out thorough and impartial investigations. Mishandled inquiries can re-traumatize those affected by the violation and further diminish confidence in leadership.
Case study:
For example, a retail company receives a complaint from an employee, Mia, who claims that her supervisor, Ryan, has been making inappropriate jokes and comments in the workplace. Mia feels uncomfortable and asks HR to look into the matter.
HR assigns a junior staff member, untrained in handling sensitive investigations, to look into the complaint. The investigation is rushed, with only two interviews conducted: one with Mia and one with Ryan. Witnesses identified by Mia are not contacted, and no effort is made to review emails or other forms of communication that might corroborate her claims. Ryan denies the allegations, and the case is quickly closed, with HR informing Mia that there was "insufficient evidence" to take further action.
Mia feels invalidated and unsupported. She becomes disengaged at work and eventually resigns,
sharing her negative experience with colleagues and on social media. Meanwhile, Ryan continues his behavior, leading to another complaint six months later. This time, multiple employees come forward, and an external investigation reveals a pattern of misconduct that the initial inquiry failed to uncover.
The company faces criticism for its poor handling of the earlier report, resulting in reputational damage and a decline in employee morale. By conducting an inadequate investigation, the company failed to protect its employees and missed an opportunity to address misconduct early. A more thorough and professional inquiry could have resolved the issue fairly, reinforced trust in leadership, and prevented further harm.
How Ethicontrol can help?
The Ethicontrol platform supports split access rights and because of an unlimited number of users, there is a possibility to invite external experts who specialize in impartial and thorough investigations, avoiding rushed or biased outcomes.
Furthermore, there are different case management tools like detailed investigation workflows that guide teams through each step, ensuring all evidence and witnesses are considered. The platform maintains secure records of all actions and decisions taken during the investigation, enhancing transparency and accountability.
3. Breaching Confidentiality
Maintaining confidentiality is vital in any internal investigation. Leaks or spreading rumours can create a hostile work environment and put the safety and reputations of witnesses and accused individuals at risk.
Violating confidentiality may discourage employees from reporting future violations out of fear of exposure or retaliation. Establishing and adhering to strict confidentiality protocols ensures trust and demonstrates the organization’s commitment to fairness and protection.
Case study:
The case study for breaching confidentiality can be the situation at a financial services firm, an employee, Emma, reports to HR that her colleague, Mark, has been sending her inappropriate messages outside work hours. HR assures Emma that her complaint will be handled confidentially.
However, during the investigation, an HR manager casually mentions the situation to another manager who is not involved in the case. This manager then shares the information with others in their department, including Mark. As rumours spread, Emma finds herself the subject of gossip, with colleagues speculating about the details of her complaint. Mark confronts Emma, denying any wrongdoing and accusing her of trying to ruin his career.
Emma feels humiliated and unsafe in the workplace. She withdraws her complaint and eventually leaves the company, citing stress and lack of support. Other employees who hear about the breach lose confidence in HR and hesitate to report their concerns. The organization struggles to rebuild trust and faces scrutiny for its mishandling of sensitive information.
Breaching confidentiality not only harmed Emma but also damaged the organization’s reputation and created a chilling effect on future reports. By failing to uphold confidentiality protocols, the company demonstrated a lack of professionalism and undermined its commitment to employee protection and fairness.
How Ethicontrol can help?
To avoid such risks, Ethicontrol supports anonymous reporting, access control meaning that only authorized personnel can access case details, reducing the risk of leaks.
Also, we can advise on resources and guidance on maintaining confidentiality during investigations.
4. Poor Communication Practices
Effective communication during and after an investigation is essential. Organizations that fail to clearly communicate investigation procedures, outcomes, or corrective steps risk alienating employees and stakeholders.
While privacy must be respected, sharing appropriate and consistent updates shows that the issue is being taken seriously and helps foster a culture of transparency. This kind of communication reassures employees and reinforces trust.
Case study:
An easy illustration is here. At a marketing agency, a group of employees raises concerns about favouritism and potential bias in promotion decisions within their department. The company initiates an internal investigation and informs the employees that their concerns will be looked into.
Throughout the investigation, the employees hear nothing from HR or management. No updates on the process or timeline are provided, leaving them uncertain about whether their complaints are being taken seriously. After several weeks, the employees are told only that the "investigation has been completed" and that "appropriate actions have been taken." No further details or transparency about improvements are shared.
The employees feel frustrated and disillusioned. They interpret the lack of communication as a sign that their concerns were dismissed, even though HR may have taken steps to address the issue. Morale in the department suffers, with employees losing confidence in leadership. Some start looking for jobs elsewhere, believing the organization is not committed to fairness or accountability.
By failing to communicate effectively, the organization squandered an opportunity to reassure employees and build trust. While maintaining privacy about specific actions is important, providing regular updates about the investigation’s progress and outlining general improvements would have demonstrated a commitment to addressing the concerns and fostering a transparent work environment.
How Ethicontrol can help?
Ethicontrol platform will help to be updated - the system provides regular, predefined updates to stakeholders about the investigation’s progress, while maintaining confidentiality where required.
Additionally, we offer tools for sharing investigation procedures with employees, so they understand what to expect and feel reassured about the process. Surely, after resolving a case, the platform allows employees to provide feedback, ensuring they feel heard and fostering continuous improvement.
5. Lack of Follow-Up and Accountability
Closing an investigation should not signal the end of the process. Neglecting to enforce corrective actions and hold individuals accountable can undermine the entire effort. This failure may suggest to employees that violations are not taken seriously, leading to repeat offences and a breakdown of organizational discipline.
A strong follow-up plan should not only address individual accountability but also resolve any systemic issues that may have contributed to the violation.
Case study:
For instance, at a manufacturing company, an employee, Carlos, files a complaint about a supervisor, Maria, who frequently yells at team members and belittles them in front of others. After an internal investigation, HR determined that Maria’s behaviour violated the company’s code of conduct. HR informs Carlos that corrective actions will be taken and closes the case.
However, no visible actions are implemented. Maria is neither counselled nor disciplined, and her behaviour continues unchanged. When other team members noticed that Carlos’s complaint led to no consequences, they decided not to report their grievances, assuming it would be futile. Eventually, the toxic environment worsens, causing several employees to leave the company. Carlos, feeling unsupported, also resigns and posts negative reviews about the company online.
By failing to follow up with accountability measures, the company allowed the issue to persist and escalate. The lack of action eroded trust in leadership and tarnished the organization’s reputation as a fair and professional workplace.
Effective follow-up is critical to sustaining the impact of an investigation. Clear, enforceable corrective actions and communication about systemic changes (e.g., leadership training or policy revisions) demonstrate accountability and reinforce organizational commitment to a respectful and safe work environment.
How Ethicontrol can help?
Ethicontrol offers a comprehensive approach to improving organizational accountability and transparency. Through action plan monitoring, the platform ensures the implementation of corrective actions by providing reminders and escalation features to promote timely follow-through.
It also supports post-case review, enabling periodic assessments of resolved cases to evaluate accountability and the impact of systemic changes.
Additionally, reporting equips leadership with dynamic dashboards that spotlight unresolved actions or recurring issues, empowering management to address root causes effectively and drive continuous improvement.