When an employee complaint comes in, what action should be taken? Does your workplace have a complaint investigation procedure that is followed each time?
Having a thorough investigation process is vital to treating employees fairly and consistently; it is also key to getting all of the facts each time so that the organization can take steps to ensure problems don’t arise again in the future.
Here are some tips to ensure that your investigation process is thorough and fair:

• Always take complaints seriously. Don’t dismiss a complaint simply because an individual complains more than others—that does not make his or her concerns invalid.
• Start by ensuring there is no longer any danger, if applicable.
• Determine right away whether any individuals involved need to be separated or suspended while the full investigation proceeds.
• Review the investigation procedures set forth in any policy or collective bargaining agreement—be sure to follow these when applicable.
• Assign an individual (or team) to investigate that is not biased in the process. Find someone neutral to the complaint at hand and the people involved.
• This person should have no vested interest in the outcome beyond ensuring that it is fair to all involved.
• Treat employees consistently. Failure to do so could be deemed discriminatory. This tip is applicable both for how complaints are handled and for how disciplinary actions are administered.
• Always conduct the investigation promptly. Failure to act quickly can also be seen as discriminatory against individual employees, even if the eventual outcome is the same.
• Have a disciplinary policy in place and follow it if misconduct is discovered. As we mentioned, this is another area where consistent employee treatment is key.
• Create a full list of people to speak with, including witnesses and alleged participants in the situation.
• Always get all sides to the situation. If an employee has been accused of misconduct, don’t just get witness accounts—also get the account of the situation from the person who has been accused.
• Review all physical evidence, including: e-mails, phone logs, security footage, time stamps for entry into restricted areas, and any other pertinent physical evidence.
• Remember that statements are not always factual. Further investigation may be needed to back up what is said.
• Immediately involve the proper authorities when appropriate, such as in cases of employee violence.
• In all investigations, keep confidentiality in mind. Confidentiality must be balanced with the need to conduct a thorough investigation. This usually means getting all individuals involved that are required in order to be fair and thorough, but no more. It may also mean requiring confidentiality statements to be signed for sensitive cases.
• When gathering information, be sure to note all circumstances that are relevant. This may even lead to additional investigations to determine the full situation. For example, if there was a safety problem, and the investigation uncovers an improper or unsafe procedure, further investigation may be needed to get to the root cause of the procedural change.
• When gathering information about the circumstances, remember that this might include interviews with people who were not involved in the incident.
• Understand that even with a written procedure, sometimes it will be necessary to change course in order to best complete the investigation. While the procedure is important, don’t let it get in the way of acting quickly and fairly. For example, it may make sense to temporarily skip interviewing one witness if that person is unavailable and other actions can be taken. Just be sure to not leave any steps of your process undone.

After the Investigation: Next Steps

The investigation itself is not the end of the process. In many ways, it’s simply the first step. Once the facts are uncovered, then the next steps can begin:

• Assessing what disciplinary procedures should be taken if applicable; and
• Taking steps to prevent the situation from occurring again, such as fixing any safety issues.

Also remember, it is illegal to retaliate against an employee who has complained in good faith about protected areas, such as unsafe working conditions or harassment—even if the complaint did not require any discipline or changes at the end of the investigation. If the employee was acting in good faith, that action is protected.

About Bridget Miller:

Bridget Miller is a business consultant with a specialized MBA in International Economics and Management, which provides a unique perspective on business challenges. She’s been working in the corporate world for over 15 years, with experience across multiple diverse departments including HR, sales, marketing, IT, commercial development, and training.