How To Conduct Effective Workplace Investigations That Will Meet Compliance Guidelines and Regulations

Overview:

For HR professionals and those responsible for employee relations, conducting workplace investigations is a critical yet daunting responsibility. When an employee reports serious misconduct—such as harassment, discrimination, theft, or policy violations—your next steps can have lasting consequences on company culture, legal compliance, and workplace morale. With increasing regulatory scrutiny and heightened employee awareness of their rights, handling workplace investigations properly is more important than ever.

Take, for example, a Fortune 500 company that faced a $15 million lawsuit because its HR team failed to conduct a thorough investigation into a racial discrimination claim. The company initially dismissed the complaint as a personality conflict, only to later discover a pattern of discrimination that had gone unaddressed for years. Similarly, a manufacturing firm paid $1.2 million in penalties when an employee accused a manager of sexual harassment, and the company’s investigation process was deemed inconsistent and biased, violating EEOC guidelines.

Not every workplace complaint requires a full-scale investigation. If two employees disagree over a minor misunderstanding, a direct conversation might resolve the issue. However, when allegations involve policy violations, misconduct, or legal concerns, failing to take immediate action can lead to compliance violations, costly settlements, and reputational damage. Many companies are unaware that even inconsistent investigation procedures can lead to claims of unfair treatment—especially when high-performing or senior employees are investigated differently than lower-level staff.

One common yet overlooked risk is vicarious liability, where an employer is held accountable for the actions of its managers and supervisors during workplace investigations. A well-known case involved a retail chain that was forced to settle for $5.5 million when a manager discouraged employees from participating in an internal investigation, leading to allegations of retaliation and obstruction.

Beyond the legal risks, poor investigations also harm employee trust. In a survey of over 1,200 employees, 62% stated that they had little confidence in their company’s ability to investigate complaints fairly. This lack of trust leads to increased turnover, low morale, and an unwillingness to report misconduct, creating an environment where workplace issues go unresolved.

A properly conducted workplace investigation must follow a structured process—from determining the need for an investigation, conducting objective interviews, ensuring confidentiality, and documenting findings in compliance with regulations. But are your investigation procedures aligned with evolving legal standards, including National Labor Relations Board (NLRB) regulations on confidentiality?

This session will equip you with the essential skills, strategies, and legal insights to conduct effective, compliant workplace investigations. Whether you’re a seasoned HR professional or new to handling investigations, you’ll gain valuable knowledge to protect your organization from litigation, reinforce a culture of accountability, and ensure that investigations are conducted thoroughly, fairly, and consistently.

Areas covered in the session:

• Learn why having a workplace investigation procedure is a crucial part of employee relations
• Learn what professionals need to have in terms of experience to conduct a workplace investigation
• Learn how what is done and not done during an investigation can provide legal scrutiny and compliance violations
• Learn how the huge fines and penalties of the investigation process will impact your company’s reputation
• Learn the 8-10 steps of an effective workplace investigation can avoid litigation or out-of-court settlements
• Learn the proper factors of your investigative report can save your company and avoid fines, penalties, and loss of business
• Learn The top 5 workplace investigation challenges
• Learn how Vicarious Liability can include all your supervisors and managers when conducting a workplace complaint
• Learn how the investigation can be a violation if not done consistently for all employees even your highest-income producers
• Learn how the current investigation procedures may conflict with the National Labor Relations Board (NLRB) rules when it comes to confidentiality regulations
• Learn the dos and don’ts of workplace investigation
• Learn how to complete an investigation report to meet legal regulations
• Learn how training your investigation team, or supervisor/ hiring managers will save your company from high fines, penalties, and criminal sanction

Why should you attend?

A poorly conducted workplace investigation can lead to lawsuits, hefty fines, and reputational damage. Whether it’s a case of harassment, discrimination, or misconduct, failing to follow a structured process can expose your company to compliance violations and employee distrust.

With increasing legal scrutiny and evolving workplace regulations, HR professionals and business leaders must ensure their investigation procedures are thorough, fair, and legally sound. This session will equip you with the knowledge to handle investigations effectively—from planning and interviewing to documentation and legal compliance.

This webinar is essential for professionals responsible for handling workplace complaints, employee misconduct, and compliance investigations. Anyone involved in HR, employee relations, or legal compliance will gain valuable insights to ensure fair, legally sound, and effective workplace investigations.

Who will benefit?

• Human Resources Professionals (HR Managers, HR Directors, HR Business Partners)
• Employee Relations Specialists
• Compliance Officers
• Corporate Investigators
• Labor and Employment Attorneys
• Chief Human Resources Officers (CHROs)
• Workplace Ethics and Compliance Managers
• Risk Management Professionals
• Internal Auditors
• Business Owners and Executives
• Managers and Supervisors Involved in Employee Relations
• Diversity, Equity, and Inclusion (DEI) Officers
• Organizational Development Professionals
• Operations Managers Handling Employee Concerns