Workplace Conduct & Complaints

Overview

California law prohibits harassment, discrimination, and retaliation in the workplace.
Employers must take reasonable steps to prevent, investigate, and address workplace misconduct.

Misconduct may involve coworkers, supervisors, managers, or third parties such as clients or vendors.

Protected Characteristics

Workplace misconduct is unlawful when based on a protected characteristic, including:

Race, color, sex, gender identity or expression, sexual orientation, religion, disability, medical condition, marital status, national origin, ancestry, military or veteran status, and age (40+).

Key Definitions

Harassment

  • Unwelcome conduct based on a protected characteristic that creates an intimidating, hostile, or offensive work environment.

  • Example: Repeated jokes about an employee’s age.

Discrimination

  • Making job-related decisions—such as hiring, pay, discipline, promotion, or termination—based on a protected characteristic instead of job performance or qualifications.

  • Example: Refusing to hire a qualified applicant because she is pregnant.

Retaliation

  • Taking negative action against someone for reporting misconduct, participating in an investigation, or exercising workplace rights.

  • Example: Cutting an employee’s hours after they file a complaint.

What to Watch For

  • Offensive comments, jokes, or slurs

  • Unwanted physical contact or threatening behavior

  • Excluding or isolating an employee

  • Harassing emails, texts, or messages

  • Offensive images or displays

  • Unequal discipline, pay, or scheduling

  • Complaints—formal or informal—about feeling targeted or uncomfortable

Important: All complaints must be taken seriously, even if informal.

Workplace Complaint Response Checklist

Step 1: Receive the Complaint

  • Have the employee complete the Complaint Form provided in The Guide

  • Respond promptly (same day or next business day when possible)

  • Do not promise confidentiality or outcomes

Step 2: Acknowledge the Complaint

  • Confirm receipt in writing

  • Explain that the complaint will be reviewed fairly

  • Clearly state that retaliation is prohibited

Step 3: Assign a Neutral Investigator

  • Select someone impartial and unbiased

  • The employer may act as investigator if necessary

Step 4: Investigate

Use the “Investigation Questionnaire” provided in The Guide to:

  • Interview the complaining party

  • Interview the accused employee

  • Interview relevant witnesses

  • Review documents, messages, video, or other evidence

Treat all parties respectfully and avoid assumptions.

Step 5: Reach Findings

  • Complete the “Investigation Report” provided in The Guide

  • Make findings using a “more likely than not” standard

  • Inform the complaining party that the investigation is complete

Step 6: Take Appropriate Action

If misconduct is found, take corrective action based on severity:

  • Minor misconduct: coaching, written warning, refresher training

  • Serious misconduct: corrective action up to and including termination

For termination-related steps, refer to the Termination & Resignation section of this Manual.

Step 7: Follow Up

  • Check in with the complaining party

  • Monitor for retaliation

  • Document follow-up steps

Remedial Measures After an Investigation

Once an investigation is complete, the employer must take appropriate remedial action if misconduct is substantiated. The response should be proportional to the severity of the conduct.

Remedial Measures for “Minor Misconduct”

Minor misconduct generally includes isolated, non-violent, or non-threatening behavior that does not rise to severe or pervasive misconduct.

Examples may include:

  • Offhand or inappropriate comments

  • Minor policy violations

  • Unprofessional behavior that stops once addressed

Available Remedial Tools

1. Written Corrective Action (Infraction)

Use the Employee Corrective Action Notice to document:

  • The misconduct

  • The policy or expectation violated

  • Clear expectations going forward

The employee should acknowledge receipt, and the document should be retained in the personnel file.

2. Refresher Training

  • Require additional training to reinforce company policies and expected behavior.

  • Training must occur during paid working time and completion should be documented.

3. Coaching or Counseling

  • Informal corrective discussions may be appropriate for very minor issues, but should still be documented internally.

Remedial Measures for “Serious Misconduct”

Serious misconduct generally includes conduct that is severe, repeated, threatening, or unlawful.

Examples may include:

  • Physical harassment or threats

  • Repeated harassment after prior warnings

  • Retaliation

  • Serious policy violations

Available Remedial Tools

1. Performance Improvement Plan (PIP)

  • Use the Performance Improvement Plan (PIP) when continued employment is appropriate but requires structured correction.

A PIP should:

  • Clearly describe the issue

  • Set measurable expectations

  • Identify a defined review period (e.g., 30, 60, or 90 days)

  • Be signed by the employee and employer

2. Last-Chance or Final Corrective Action

  • In appropriate cases, a final written warning or last-chance agreement may be used before termination.

3. Coaching or Counseling

  • Informal corrective discussions may be appropriate for very minor issues, but should still be documented internally.

Documentation Is Critical

For every investigation and remedial action, employers should retain:

  • Complaint Form

  • Investigation Questionnaire

  • Investigation Report

  • Corrective Action or PIP (if issued)

Proper documentation protects the business in the event of a claim or audit.

Retaliation Is Strictly Prohibited

Retaliation against anyone who reports misconduct, participates in an investigation, or assists as a witness is illegal.

Watch for Signs of Retaliation

  • Sudden discipline or negative reviews

  • Schedule or duty changes

  • Isolation or exclusion

  • Increased scrutiny or micromanagement

  • Termination shortly after a complaint

Address retaliation immediately.

Investigation Best Practices

  • Stay neutral and fact-focused

  • Ask open-ended questions

  • Document all steps taken

  • Share information only on a “need to know” basis

  • Do not promise full confidentiality

Manager Do’s & Don’ts

DO

  • Listen calmly and respectfully

  • Take every complaint seriously

  • Escalate complaints immediately

  • Document what was reported

  • Maintain professionalism

  • Report retaliation concerns right away

DON’T

  • Ignore or minimize complaints

  • Investigate on your own without guidance

  • Promise confidentiality or specific outcomes

  • Take sides or assume guilt

  • Delay action

  • Retaliate or allow retaliation

Reminder: Even subtle retaliation can create legal liability.

Key Takeaways

  • Investigate promptly and fairly

  • Document every step

  • Retaliation is illegal

  • Use The Guide’s templates to stay consistent and compliant

  • When in doubt, pause and consult counsel before taking disciplinary action.