New England Biz Law Update
Effective handling of employee complaints is a cornerstone of healthy workplace culture and risk management.
When complaints arise, HR professionals must demonstrate a careful balance of thoroughness, fairness, and sensitivity.
A well-structured investigation process not only addresses immediate concerns but also reinforces organizational values, maintains employee trust, and mitigates potential legal issues. These tips can help you conduct an investigation that is both effective and defensible.
Timely response
Responding promptly to employee complaints is essential. One general guideline is to acknowledge receipt within 24-48 hours and begin investigations within 3-5 business days.
Consider whether immediate action is advisable to protect the victim or the accuser. Separating the two parties through a schedule change or temporary leave may be advisable, although employers may want to seek legal advice before making these decisions.
Timely action demonstrates organizational commitment, preserves evidence, reduces legal risks, and maintains employee trust. Delays can exacerbate problems and create the perception that complaints aren’t taken seriously.
Choosing internal vs. external investigators
Internal investigators offer company knowledge, cost-efficiency, and familiarity with organizational dynamics. They’re generally appropriate for less complex matters when objectivity can be maintained.
External investigators provide perceived impartiality and specialized expertise. Consider external resources for allegations against leadership, highly sensitive issues, potential litigation scenarios, or when technical expertise is required.
Conducting interviews
When possible, obtain evidence such as emails and supporting documents and review them before conducting interviews. As you begin interviews, set the following expectations:
- Explain the process: Start by informing all parties of the investigation and the process, including purpose, confidentiality limits, and non-retaliation. Request witnesses refrain from recording interviews (particularly for virtual meetings).
- Establish import: Emphasize that providing honest and complete information is essential to the investigation’s integrity, even when sharing uncomfortable facts.
- Offer continuation options: Inform witnesses they can schedule follow-up meetings if they recall additional information or need more time to provide complete responses.
Guide the interview with neutral, open-ended questions. Avoid leading questions or expressing personal opinions. The goal is to gather sufficient information to reach a reasonable conclusion about whether the alleged conduct more likely than not occurred.
Documentation best practices
Document all aspects of the investigation, including interview notes, evidence collected, timeline of events, findings, and remedial actions. Thorough documentation provides accountability and protection for the organization.
Maintaining procedural fairness
Ensuring procedural fairness is crucial for building and maintaining trust during an investigation. This involves:
- Providing a fair hearing: Giving all parties a reasonable opportunity to express their perspectives.
- Conducting a thorough inquiry: Investigating the matter with appropriate care and attention to detail.
- Applying policies consistently: Ensuring that organizational policies are applied uniformly across all situations.
- Keeping detailed records: Documenting each step of the investigation to maintain transparency.
- Remaining impartial: Maintaining neutrality and avoiding any appearance of bias throughout the process.
Well-conducted investigations, grounded in these principles, contribute to a respectful workplace and protect both employees and the organization. They help to mitigate legal risks and reinforce confidence in HR’s ability to address workplace concerns effectively and impartially.
