USA – PENNSYLVANIA Trends and Developments Contributed by: Robert Ufberg, Matthew Boyd and John Ellis, Ufberg & Associates, LLP
of the issues being investigated and the complexity of the investigation. Generally, the report should include a clear summary of the allegations, the relevant por - tions of applicable workplace policies, and a sum - mary of the key points of each witness interview. If the investigator is sharing their opinion or impression of a witness, as opposed to a factual statement, that dis - tinction should be very clear in the report. The inves - tigator should then set forth such information in the investigator’s conclusions and explain the underlying reasoning. If the report is intended to be protected by attorney–client privilege, it should clearly be marked as an attorney–client privileged document. In matters involving employee discipline, the inves - tigator must be prepared, if necessary and where appropriate, to recommend specific remedial action (or a range of potential remedial actions) based upon the factual conclusions and application of company policies, or laws or regulations involved, to those fac - tual conclusions. Note, however, that the investigator is not the final decision-maker – the final decision on discipline, and the implication of that discipline, will be up to the employer. If misconduct or policy violations are found, take appropriate disciplinary or corrective action according to company policies and procedures. This could include counselling, training, suspension, termination or other measures, as deemed necessary. In our experience, most employers will implement a remedial action recommended by the investigator. If the organisation chooses not to do so, the reasons for that decision should be documented, and filed along - side the investigator’s report. Final considerations Workplace investigations rarely proceed in a straight line. New allegations may surface, witnesses may pro - vide unexpected information, or evidence may shift the direction of the inquiry. An effective investigator remains adaptable, adjusting the investigative plan as necessary, while maintaining procedural rigour. At the conclusion of every investigation, organisa - tions should take time to evaluate not only the find - ings, but also the investigative process itself. This includes reviewing whether timelines were met, whether communications were clear, whether confi - dentiality was appropriately maintained, and whether
the investigative methods aligned with legal and policy expectations. Identifying gaps or challenges in these areas provides a valuable opportunity for continuous improvement. Equally important is considering whether broader organisational actions are warranted. A single com - plaint may signal systemic issues – such as inadequate training, unclear policies, inconsistent supervision or cultural concerns – that call for remedial steps beyond addressing the specific matter at hand. Updating poli - cies, enhancing management training, conducting additional training, improving reporting mechanisms, reinforcing anti-retaliation commitments, making operational changes or enhancing internal controls can greatly reduce the likelihood of future problems. Ultimately, a well-executed investigation does more than resolve an immediate issue. It strengthens trust in the organisation, demonstrates a commitment to fair - ness and accountability, and reinforces a respectful and legally compliant workplace culture. By approach - ing each investigation with diligence, neutrality and integrity, organisations not only meet their obligations, but also foster an environment where employees feel safe, heard and supported. Conclusion The above summary seems clear, but a workplace investigation rarely goes as planned. In today’s envi - ronment, investigations have grown increasingly complex due to factors such as remote work arrange - ments, digital communications, evolving regulatory requirements and heightened employee expecta - tions. Surprises will pop up, and are almost inevitable – new allegations may surface, evidence may shift, or a complainant might refuse to co-operate or change their account midway through the process. Investiga - tors must be prepared to address issues like conflict - ing digital evidence, privacy concerns, social media implications and multi-jurisdictional challenges, all of which can complicate fact-finding and resolution. Additionally, heightened awareness regarding diver - sity, equity and inclusion means investigators must navigate nuanced interpersonal dynamics and poten - tial cultural considerations.
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