Investigating and Documenting Employee Complaints

Once you become aware of a problem with an employee or receive a complaint from another worker or a customer, you need to investigate the situation before you take any action. Be sure that you have all the facts and that you understand what went on, to the extent possible.

When employees or customers bring improper conduct to your attention:

Thank them (you want to encourage people to speak up and be open about these matters with you).
Ask them, in private, to describe exactly what they witnessed.
Ask them to give you a written statement, if the situation warrants one.
Assure them that you will treat the complaint with seriousness and confidentiality.
Be sure to follow up with them when the situation has been addressed. Don't divulge anything about the disciplinary action with the complainant. You must protect the confidentiality of the disciplined employee, too.

Use these guidelines to help you get the information you need:

Ask for specifics. Get details. Don't assume anything.
Get names of witnesses. Interview all possible witnesses.
Review every file and document.
Visit the place where the incident occurred, if necessary.
Ask open-ended questions that don't require witnesses to confirm or deny your stated or implicit conclusions.
Keep confidences and conduct the investigation in private.
Maintain your objectivity.
Watch the body language of individuals.
Respect the privacy of those involved.
Take good notes to document the results of your investigation.

Advanced investigation methods. Sometimes, normal investigative techniques, such as interviewing employees and other people, and checking documentary evidence, if any, won't provide the information you want. If this happens, you may consider some alternative information-gathering methods. Don't get carried away, and be sure to clear any of the following actions with a legal advisor.

You may consider workplace searches and surveillance of employees in the workplace, including monitoring phone calls and e-mail. What you shouldn't consider in most circumstances is polygraph testing. If a situation has escalated to the point where you're considering asking employees to submit to polygraph testing, call your attorney.

The biggest danger with any of these techniques is that people expect, not unreasonably, to maintain their privacy. Employees who feel that an employer is spying on them, or listening in on private telephone conversations can respond with a lawsuit charging invasion of privacy or worse.

Anonymous complaints. There is a natural tendency to ignore anonymous complaints. This may not be a good idea. For example, for a sexual harassment complaint, prior to going to an external third party, such as the EEOC or an attorney, some employees may complain anonymously. Put aside the fact that a complaint is unsigned or the complainer is unknown and decide if the complaint deserves a thorough investigation or if you should ignore it. If it seems likely that the complaint came from an employee, greater weight should be given to the complaint.

If you decide to investigate the complaint, do so as thoroughly as possible given the few details that you have. In the event that the investigation uncovers policy violations or errors, treat those the same as an employee complaint. Rectify any errors that you can.