When an employee reports possible misconduct, or when management becomes aware of a workplace concern, employers should respond promptly. A prompt, fair, and thorough investigation can help manage inappropriate behavior, protect employees, reduce legal risk, and support a respectful workplace.
Here are answers to five frequently asked questions about employee complaints and workplace investigations. Our next Tip of the Week will provide guidelines for conducting the investigation.
KEY POINTS
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What is misconduct?
Misconduct may include harassment, discrimination, retaliation, workplace violence, bullying, theft, policy violations, safety violations, or other inappropriate workplace behavior.
Importantly, there are federal, state, and local laws prohibiting many of the types of misconduct listed above.
What is a complaint?
A complaint can be formal or informal. It may be made verbally, in writing, through a supervisor, through HR, or through a company reporting system, for example.
Managers and supervisors should know when to escalate complaints. Train managers to promptly report complaints or suspected misconduct, even if the employee asks the manager not to tell anyone.
Employees should be encouraged to report concerns in good faith. Keep in mind that a complaint that cannot be substantiated isn’t necessarily false. However, knowingly making false allegations may violate company policy and may result in corrective action.
What should trigger a workplace investigation?
In some situations, federal, state, or local laws may require employers to investigate complaints involving harassment, discrimination, retaliation, workplace violence, safety concerns, or other unlawful conduct.
Employers should evaluate whether an investigation is warranted when, for example:
- An employee reports harassment, discrimination, retaliation, or workplace violence
- A manager observes possible misconduct
- The employer receives an anonymous complaint
- The employer becomes aware of possible policy violations
Employers shouldn’t ignore concerns or automatically dismiss anonymous reports.
Example: An employee tells a supervisor that a coworker has repeatedly made offensive comments. Even if the employee says they "just wanted to make management aware," the supervisor should notify HR or the designated company representative. The employer should promptly assess the allegations and take appropriate action, which may include conducting an investigation.
What can employees expect during an investigation?
Employees generally should expect to:
- Report concerns in good faith and participate in investigations without fear of retaliation
- Provide supporting evidence
- Be treated respectfully throughout the process
- Receive appropriate communication that the investigation has concluded, subject to confidentiality, privacy, and legal requirements
What is retaliation?
Retaliation is any adverse action taken because an employee has participated in protected activity, such as reporting or opposing misconduct or participating in an investigation.
Conclusion
When you learn about potential misconduct, don't ignore it. Respond promptly and take appropriate steps to address the concern. A fair and thorough investigation can help protect employees, reduce legal risk, and support a respectful workplace.
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