We’ve all seen this scenario (or something similar): a supervisor reports to Human Resources that their direct report complained about being treated unfairly at work. The supervisor says to HR: “I told them to put their concerns in writing, otherwise it’s not a formal complaint.” The direct report, whether they are too fearful or do not want to ruffle feathers, does not submit a “formal complaint,” and so, their concerns go uninvestigated and unanswered. A savvy employer knows that this is not only the wrong way to build a healthy organizational culture, but it also may expose the organization to legal liability. Here are five mistakes to avoid in addressing complaints of misconduct.
- Ignoring complaints
Ignoring a complaint is one of the biggest mistakes an employer can make. Choosing not to investigate allegedly inappropriate conduct can, as mentioned above, create legal liability for the organization. Whether or not the complaint seems “frivolous,” it is in the employer’s best interest to promptly look into the concerns. Additionally, simply because a complaint is not in writing does not mean that the organization has no obligation to investigate, or that they are not on notice that a complaint has been made.
- Not selecting an unbiased investigator
Often, a regional HR business partner may seem like the best individual to conduct a workplace investigation. Afterall, they have they have the experience and training to efficiently investigate an employee’s concern. However, oftentimes this means that the HRBP knows the individuals implicated in the concerns and may have already formed an opinion on the allegations. Therefore, it is prudent to select an investigator who is impartial and does not regularly work with the individuals involved.
- Not training investigators
If an HRBP or employee relations specialist is, in fact, the appropriate investigator, this person must be adequately trained. If an investigator is untrained, they may conduct a surface-level, incomplete investigation. Alternatively, they may share confidential information with witnesses, which also may lead to an ineffective investigation. As such, it is important to appropriately train the individuals who are conducting investigations. This may mean utilizing an external investigator, who is guaranteed to have the training and experience to conduct an impartial, prompt, and legally sufficient investigation.
- Failing to document the investigation
An investigation is only as strong as the documentation that supports it. Without documentation of witness interviews, analysis, and findings, an employee may argue that the organization failed to conduct an investigation at all.
- Failing to communicate with the appropriate individuals once the investigation is complete
After the investigator reaches findings, it is tempting for an organization to spring into action, making any necessary personnel changes and working to repair any cultural damage. However, it is imperative to share at least the basic findings of the investigation with the Complainant (the individual who raised the concerns) and the Respondent (the accused individual). Although the Complainant is not entitled to information regarding who was interviewed, or what (if any) disciplinary action will be taken against the Respondent, they are permitted to understand whether their allegations were substantiated or not. Clear, appropriate communication ensures that individuals with the right to know understand that an impartial and thorough investigation was conducted, and that the organization is taking the necessary steps to resolve the situation.
Steering clear of these five common mistakes will not only improve an organization’s culture but will help to avoid costly and time consuming litigation. The importance of choosing an experienced, trained and impartial investigator cannot be overstated in dealing with these types of employee relations issues.