Conducting Workplace Investigations Effectively and Legally, Online Training Format

Read About Recertification and Continuing Education Requirements
  • 2.0 HRCI Credits
  • 2.0 SHRM PDCs
  • 2.0 Florida CLE Credits
  • 2.0 Georgia CLE Credits
SKU: 412

Conducting Workplace Investigations Effectively and LegallyEven the best-managed workplaces will at some point face situations requiring investigation.  Improperly conducted workplace investigations can be costly, both in terms of resulting litigation and a decline in profitability due to any disruption in operations, decreases in employee morale, and negative publicity.  Conversely, well-conducted investigations nip workplace problems in the bud, thus keeping businesses operating smoothly—and out of court.

This course explains clearly the regulations governing the workplace, identifies situations requiring investigation, provides instruction on how to conduct investigations effectively and legally from start to finish, and explains methods of resolving workplace disputes internally.

Managers, Supervisors, Risk Managers, and Human Resources Professionals



Not Required


105-120 minutes

The purpose of this course is to help the learner identify situations that require an internal investigation and to provide guidance for an effective and legally compliant response to workplace complaints, behaviors, or incidents.

After completing this course, the learner will be able:

  • recognize workplace situations that require an internal investigation and associate these with the applicable laws;
  • summarize and implement elements of an effective internal investigation, and determine its scope;
  • confirm details of an incident, discern legally compliant interim actions, and choose an investigator;
  • conduct effective interviews of all parties involved;
  • evaluate the credibility of an interviewee and summarize the investigation upon its conclusion; and
  • differentiate between the three basic forms of alternative dispute resolution--mediation, arbitration, and peer review--and ascertain when and how each can be used to implement a workplace conflict resolution system.

1. An Overview of the Laws and Regulations Governing the Workplace

2. The Keys to Conducting Effective Workplace Investigations

3. The Steps to Take Before an Investigation

  • Knowing When to Investigate
  • Choosing the Right Investigator
  • Planning the Investigation

4. How to Conduct the Investigation

  • Taking Interim Action
  • Interviewing Witnesses

5. How to Conclude the Investigation

  • Writing Reports
  • Making Recommendations

6. Resolving Complaints Using Alternative Dispute Resolution Methods

  • Mediation
  • Arbitration
  • Peer review


  • ADR Comparison Chart
  • Employee Complaint Response Memo
  • Initial Incident Report
  • Internal Investigation vs. Informal Resolution Flowchart

HRCI logo This program has been approved for 2.0 recertification credit hours toward PHR, SPHR, and GPHR recertification through the HR Certification Institute.  For more information about certification or recertification, visit the HR Certification Institute homepage at

(The use of this seal is not an endorsement by the HR Certification Institute of the quality of this program. It means that this program has met the HR Certification Institute's criteria to be pre-approved for recertification credit.)

The Human Equation is recognized by SHRM to offer Professional Development Credits (PDCs) for the SHRM-CPSM or SHRM-SCPSM. This program is valid for 2.0 PDCs for the SHRM-CP or SHRM-SCP. For more information about certification or recertification, please visit

If you're not completely satisfied with the quality of our courses, we will refund your money - guaranteed. Click here for detailsTHE FLORIDA BAR
The Florida Bar's Board of Legal Specialization and Education has approved this course for 2.0 General Continuing Legal Education (CLE) credits. For more information about CLE credits, visit The Florida Bar homepage at

The State Bar of Georgia has accredited this course for 2.0 hours of Regular CLE credits.  For more information about CLE credits, visit The State Bar of Georgia homepage at

Conducting Workplace Investigations Effectively and Legally

Table of Contents

  • Chapter 1: Instructions
    • Page 1
  • Course Objectives
  • Chapter 2: Introduction
    • Page 2, 3, 4, 5
  • Chapter 3: Workplace Regulations
    • Page 6, 7, 8, 9
    • Conduct During Investigations
      • Page 10, 11, 12, 13, 14, 15
  • Chapter 4: Keys to Effective Workplace Investigations
    • Page 16
    • Characteristics of an Investigation
      • Page 17, 18
    • Methods of Investigation
      • Page 19, 20, 21
    • The Benefits of Effective Workplace Investigation
      • Page 22, 23
  • Chapter 5: When to Investigate?
    • Page 24
    • Respond Promptly
      • Page 25, 26
    • Situations Warranting Investigation
      • Page 27, 28, 29
    • Distinguish a Claim of Harassment
      • Page 30, 31
  • Chapter 6: Before the Investigation
    • Determine the Scope of the Investigation
      • Page 32, 33
    • Choose the Right Investigator
      • Page 34
    • Internal vs. Third-Party Investigations
      • Page 35, 36
    • Choose the Right Investigator
      • Page 37, 38
    • Employee Consent
      • Page 39, 40, 41
    • Plan the Investigation
      • Page 42, 43, 44, 45
  • Chapter 7: Conducting the Investigation
    • Establish the Facts
      • Page 46
    • Confirm Details of the Complaint
      • Page 47
    • Take Interim Actions if Necessary
      • Page 48
    • Take Interim Actions
      • Page 49
    • Establish Some Ground Rules
      • Page 50
    • Reassure the Interviewee
      • Page 51, 52
    • Interview the Complainant
      • Page 53, 54, 55
    • Interview the Accused Party
      • Page 56, 57
    • Interview Witnesses
      • Page 58
    • Close the Interview
      • Page 59, 60
  • Chapter 8: After the Investigation
    • Conclude and Recommend
      • Page 61, 62, 63
    • Leave Out the Unnecessary
      • Page 64
    • Standard of Proof
      • Page 65, 66, 67
  • Chapter 9: Complaints and Dispute Resolution
    • Page 68
    • Primary Forms of Alternative Dispute Resolution (ADR)
      • Page 69
    • ADR: Mediation
      • Page 70, 71
    • ADR: Arbitration
      • Page 72, 73, 74
    • ADR: Peer Review
      • Page 75, 76
    • Conflict Resolution System
      • Page 77, 78, 79, 80, 81, 82
  • Chapter 10: Conclusion
    • Page 83
  • Chapter 11: Time to Review
    • Page 84
    • Course Index
      • Page 85
  • Exam (multiple choice)

Student Benefits

Students and employees who take the Conducting Workplace Investigations Effectively and Legally course will enjoy:

 Course FeaturesIncludedComments
HRCI Recertification Credits
2.00 HRCI Recertification Credit(s).
SHRM PDC Credits
2.00 SHRM PDC Credit(s).
CAM Credits
0.00 CAM Credit(s).
Florida Bar CLE Recertification Credits
2.00 Florida Bar CLE Recertification Credit(s).
Florida Bar CLE Ethics Recertification Credits
0.00 Florida Bar CLE Ethics Recertification Credit(s).
State Bar of Georgia CLE Recertification Credits
2.00 State Bar of Georgia CLE Recertification Credit(s).
State Bar of Georgia CLE Ethics Recertification credits
0.00 State Bar of Georgia CLE Ethics Recertification credit(s).
FL CE 2-20 Credits
0.00 FL CE 2-20 Credit(s).
Unlimited 1 Year Access
The Human Equation's courses may be accessed and reviewed as many times as you wish even after completion.
90 Days Money Back Guarantee
The course must not be completed.
Friendly and Knowledgeable Customer Service
M-F from 8:00am to 4:30pm.
Table of Contents
Allows you to jump directly to slides and chapters that you have already viewed.
56 pictures/illustrations.
Interactive Learning Activities
20 interactive learning activities.
Audio Narration
58 audio narrations.
Supporting Documents
4 supporting documents.
Case laws
6 case laws.
5 definitions.
Questions and Answers
19 questions and answers.
Video Clips
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Practice Quiz
0 practice true or false questions and 0 practice multiple choice questions.
Scored Exam
2 exam true or false questions and 8 exam multiple choice questions.
Printable Certificate
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 Learning Management System FeaturesIncludedComments
Convenient User Creation and Management
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