I know that things can get extremely busy for HR and compliance professionals, and I understand the desire to reduce a sometimes overwhelming workload, perhaps by moving some complaints to the back burner or avoiding them altogether. As such, I’m often asked whether it is this safe to ignore certain complaints, particularly in the following circumstances:
1. The employee asks that you not take any action. At first glance, this seems like a win-win. The employee doesn’t want you to do anything, and you can cross one more item off your list. Unfortunately, however, what the employee wants you to do with the information he or she has shared doesn’t matter, since you and the company are now on notice that there may be a problem. Your failure to address the issue can lead to additional headaches for the company, including the potential for legal liability for neglecting to follow up.
2. The complaint is anonymous. I get it. Anonymous complaints are notoriously difficult to investigate. If you are lucky, you can correspond with the person making the complaint through a sophisticated compliance hotline that protects the individual’s anonymity. If not, well…you just have to go with what you’ve got. Regardless, you must follow up to the best of your ability, which probably means talking to at least the subject of the complaint and possibly some other witnesses as well, depending on how much information you have. Make sure to document your efforts and any limitations associated with not being able to speak with the complainant directly.
3. A lawsuit or EEOC charge has already been filed. Many people believe that once a lawsuit or charge has been filed, it is too late to conduct an internal investigation into the plaintiff’s claims. But not so! Once again, the company has been put on notice that there is a problem, and there is an obligation to follow up on the allegations to determine if there is any merit, particularly if the alleged wrong-doer is still employed. Both the EEOC and the court will expect it, and failure to do so may make the company appear as if it doesn’t care about the issue, which can be detrimental to its defense. That being said, there is a good chance your lawyer will want to have the investigation conducted under privilege, so make sure to check with him or her first.
4. The employee no longer works for the company. Hopefully, it goes without saying that whether the individual who made the complaint is still with the company is irrelevant to whether you should investigate, since you will want to know if the behavior at the root of the complaint is a problem for other employees who are still there. But when the accused is no longer with the company, the issue becomes a bit more complex. Nevertheless, I believe it is still a good idea to follow up. If the complaining employee has made the effort to bring the matter to your attention, you owe it to him or her to take it seriously. Perhaps more importantly, though, you will want to ensure that the complained-of behavior has not infected the rest of the organization to the point that it is continuing even in the individual’s absence, especially if the accused was in a leadership position.
5. The employee complains all the time, often without cause. Beware the employee who cries wolf. If this individual’s multiple complaints have always been without merit, you might be tempted to forgo an investigation into the latest. But inevitably that will be the one that is actually legit, and unfortunately, the “crying wolf” defense will not help you if you find yourself in court.
As you have likely guessed, the answer to when you can safely ignore an employee complaint is that you can’t. (And, yes, I did bury the lede – sorry! Not sorry.) The good news is that just because you must follow up on every complaint, you do not necessarily have to conduct a complicated search for forensic evidence, interview multiple witnesses, and/or write a lengthy report. Most of the time, talking to a few key people, taking appropriate disciplinary action (if necessary), and making a note to file will suffice.
If you are interested in learning more, I offer live, hands-on training to both individual professionals and organizations that are responsible for conducting internal investigations, including my upcoming webinar Conducting Effective Internal Investigations in September.