Investigate a Workplace Complaint

by Lisa Guerin, J.D.

How to get to the bottom of workplace incidents.

1. Decide whether to investigate.
Before you put on your detective's hat, take some time to decide whether you really need an investigation. In a few situations -- for example, if all employees agree on what happened or the problem appears to be minor -- you may reasonably decide that a full-blown investigation is unnecessary. Usually, however, it's best to err on the side of conducting an investigation. If the problem is more serious than it seemed, failing to investigate can lead to legal trouble -- and continuing workplace problems. And sometimes, you just can't tell how widespread or substantial a problem is until you do a little poking around.

2. Take immediate action, if necessary.
You might have to act right away -- even before you begin your investigation -- if a situation is volatile or could otherwise cause immediate harm to your business. If an employee is accused of sexually assaulting a coworker, stealing valuable trade secrets, or bringing a weapon to work, you'll probably want to suspend the accused employee temporarily -- with pay -- while you look into the matter. But be careful not to prejudge the situation or lead the accused employee to believe that you've already made up your mind.

3. Choose an investigator.
You'll want an investigator who is experienced and/or trained in investigation techniques, is impartial and perceived as impartial by the employees involved, and is capable of acting -- and, if necessary, testifying in court -- professionally about the situation. If you have someone who meets this job description on your payroll, you're in luck. If not, you can hire an outside investigator to handle things for you.

4. Plan the investigation.
Take some time up front to organize your thoughts. Gather any information you already have about the problem -- such as an employee complaint, a supervisor's report, written warnings, or materials that are part of the problem (such as X-rated emails or threatening letters). Using this information as your guide, think about what you'll need to find out to decide what happened. Whom will you interview and what will you ask? Are there additional documents that employees or supervisors might have? Is there anyone who witnessed important events -- or should have?

5. Conduct interviews.
The goal of every investigation is to gather information -- and the most basic way to do that is by asking people questions. Most investigations involve at least two interviews: one of the employee accused of wrongdoing, and another of the employee who complained or was the victim. Sometimes, you will also want to interview witnesses -- others who may have seen or heard something important. When you interview people, try to elicit as much information as possible by asking open-ended questions.