Conducting Workplace Investigations
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The primary goals of any workplace investigation are to reassure employees that their concerns are taken seriously and to address inappropriate behavior promptly, protecting the organization from potential legal action, security breaches, or even workplace violence. One of the most critical responsibilities of a supervisor, manager, or HR professional is to respond appropriately to employee grievances and reports of misconduct. While not all employee complaints warrant a full investigation, it is best practice to assess the facts and circumstances before making that determination. Many situations can expose a company and sometimes its managers, to legal liability, making a thorough investigation essential before deciding how to proceed. The way an investigation and its follow-up are handled can itself become a basis for legal action.
Some investigations may be resolved quickly, while others require a more in-depth approach. Skilled leaders and HR professionals must be able to assess situations swiftly, avoiding unnecessary investigations into baseless claims, while still protecting the organization from the risks of costly, time-consuming litigation. This webinar will equip attendees with the tools and strategies needed to manage investigations confidently, legally, and effectively.
Your Benefits for Attending:- Understand how to effectively handle a wide range of workplace investigations, including harassment, workplace violence, safety concerns, whistleblower reports, employment disputes, misuse of company resources, cybersecurity breaches, performance issues, and code of conduct violations.
- Learn the full investigation process—from planning and notifying involved parties to gathering statements, analyzing findings, documenting actions, and conducting thorough follow-up.
- Gain practical insights on how to document investigations appropriately to protect your organization from legal liability and ensure a fair, compliant process.
This webinar provides valuable guidance to help you take decisive action in the face of employee complaints, improve workplace trust, and minimize legal risk.
Who Should Attend:Supervisors, managers, and HR professionals responsible for receiving or addressing employee complaints. Even when HR leads the investigation, it is essential that all management personnel understand the investigation process, their specific roles, and what information can be shared during and after the investigation.
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Cynthia Keaton
Cynthia C. Keaton, SHRM-SCP is a senior human resources executive and consultant with extensive experience leading HR strategy, operations, and transformation across a range of industries including government, manufacturing, life sciences, and heavy equipment. As Founder and Chief Consultant of Keat [...]
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This webinar received a total of 2 survey responses. Attendees have given an average rating of 4.9 stars out of a possible 5, reflecting the quality and value of the content presented.
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Frequently Asked Questions
A thorough workplace investigation follows a structured process designed to uncover facts, protect all parties, and support legally defensible decision-making. The process begins with an initial assessment to determine whether the complaint warrants a full investigation—not every concern requires the same level of inquiry, but a documented assessment is always advisable. If investigation is warranted, the next step is planning: identifying the scope, potential witnesses, relevant evidence, and who will conduct the investigation. Notifying involved parties of the investigation—including the complainant, respondent, and witnesses—should be done carefully, with attention to confidentiality obligations and anti-retaliation protections. Evidence gathering involves interviewing all relevant parties (starting with the complainant, then the respondent, then witnesses), collecting and preserving documents, communications, and other physical evidence, and taking detailed notes or recordings where permitted. After gathering evidence, the investigator analyzes the facts against applicable standards and policies to reach a conclusion. All findings, reasoning, and recommended actions are documented in a formal investigation report. Follow-up actions—including remediation, discipline, and preventive measures—complete the process. Cynthia Keaton covers this full process in Aurora Training Advantage's Conducting Workplace Investigations webinar.
Not every employee complaint rises to the level of requiring a formal workplace investigation, but certain categories consistently do—and failing to investigate them can expose the organization to significant legal liability. Harassment and discrimination complaints, including sexual harassment, racial harassment, and complaints based on any other protected characteristic, generally require a prompt, thorough, and documented investigation regardless of how credible they initially appear. Workplace violence threats or incidents, including bullying, intimidation, or physical confrontations, require investigation for both legal and safety reasons. Whistleblower complaints and reports of regulatory violations, fraud, or ethical misconduct must be handled carefully to protect the reporter and comply with anti-retaliation laws. Cybersecurity incidents, data breaches, and misuse of company systems or resources warrant investigation to assess liability and prevent recurrence. Code of conduct violations—including dishonesty, conflicts of interest, and policy violations—should be investigated when the facts are disputed or the potential consequences significant. Performance concerns with possible underlying discrimination or retaliation dimensions also warrant factual investigation before action. Aurora Training Advantage's workplace investigations webinar, taught by Cynthia Keaton, helps HR professionals and managers assess when and how to investigate each of these complaint types.
Thorough documentation is the foundation of a legally defensible workplace investigation—poor documentation can turn a well-handled investigation into an organizational liability. From the outset, investigators should document the date the complaint was received, who reported it, and the nature of the concern. A written investigation plan—including scope, planned interviews, and evidence to be collected—demonstrates a systematic, good-faith approach. Interview notes should be detailed, recording specific statements as close to verbatim as possible, along with the date, time, and attendees. All documentary evidence—emails, texts, performance records, surveillance footage, policy documents—should be collected and preserved with a clear chain of custody. The investigator's analysis and factual findings should be documented separately from conclusions and recommendations, showing the logical connection between evidence and decision. The final written investigation report should summarize the complaint, process, evidence, findings, conclusions, and recommended actions in a clear, objective format. Documentation should be stored securely in a confidential investigation file, separate from the employee's general personnel file, and retained for a defined period consistent with the organization's record retention policy. Aurora Training Advantage's Conducting Workplace Investigations webinar, presented by Cynthia Keaton, covers documentation best practices that protect both the organization and the integrity of the process.
Confidentiality and anti-retaliation protections are two of the most legally sensitive dimensions of workplace investigations, and mishandling either one can transform a well-intended investigation into a legal claim. On confidentiality, investigators should communicate to all parties that the investigation will be kept as confidential as possible—but should avoid promising absolute confidentiality, as investigations sometimes require disclosing information to reach conclusions or take corrective action. Blanket confidentiality orders imposed on employees (telling them not to discuss the matter with anyone) have been challenged by the NLRB as potentially restricting employees' Section 7 rights, so confidentiality instructions should be justified by legitimate business reasons specific to the investigation. Anti-retaliation protections are critical: the investigator must clearly communicate to all parties—especially the complainant and any witnesses—that retaliation for participating in the investigation is prohibited and will result in disciplinary action up to termination. The organization must also actively monitor for retaliatory conduct after the investigation concludes. Separating involved parties during the investigation, where feasible, reduces both the risk of retaliation and the appearance of it. Cynthia Keaton addresses confidentiality and anti-retaliation considerations in detail in Aurora Training Advantage's workplace investigations webinar.
When a manager receives an employee complaint—whether a formal report or an informal disclosure—their response in the critical first minutes and hours sets the tone for the entire investigation and can significantly affect the organization's legal exposure. The most important immediate action is to listen actively and without judgment, making the employee feel heard without making promises about outcomes or conclusions. Managers should NOT investigate on their own, conduct informal inquiries, or try to resolve the situation themselves before involving HR—well-intentioned informal handling frequently complicates formal investigations and can be characterized as retaliation or coercion. Managers should document the complaint as received, including the date, time, and the employee's specific words as closely as possible, and promptly report it to HR. Until HR assesses the situation, managers should take no disciplinary or retaliatory action against the complainant, respondent, or any potential witnesses. If there is an immediate safety concern, the manager should take emergency protective action (such as physical separation) while escalating to HR and security simultaneously. Aurora Training Advantage's Conducting Workplace Investigations webinar, led by Cynthia Keaton, specifically addresses the role of managers in the investigation process, including what information can and cannot be shared as the process unfolds.