The Human Resource: When to investigation

An employee arrives at your office and asks to speak with you. You agree and they tell you a story of alleged harassment, inappropriate behavior by their supervisor, and finish by indicating they don’t want you to do anything, but they needed to get the information of their chest, they do not want to get anyone in trouble.

Sound familiar? This is all too common a behavior by employees, and the request is something far too many managers agree to without recognizing the risk and danger of taking no action.

Liability and risk in your employment practices can come in a myriad of shapes and sizes, however, this situation falls right in the lap of a member of the management team and there is an obligation to protect the employee and the rest of the workforce and adhere to all your policies and procedures. Further, you need to protect the business, and you cannot do this by ignoring the report of alleged inappropriate behavior or policy violations in your workplace.

When the employee shares information in the form or a complaint or allegation, you should advise him or her that while you will keep the information as confidential as possible, based on the content of the information you have an obligation to report the matter to leadership and to act accordingly. The action you will take is to investigate the allegation(s) to determine if there is any validity to the claim and respond accordingly.

The way the employee presents the information has little to do with whether the information is to be considered a complaint or allegation. The employee does not have to make the matter formal, or even document the matter, to have reported it. Keep this in mind when you develop and establish policies and practices for supervisors and managers with regards to complaints and allegations.

Failure to act can later result is serious consequences such as the matter getting worse, other employees experiencing similar treatment, or the employee decides to file a complaint with a regulatory enforcement agency. If later, it’s uncovered that the employee reported the matter to a member of management and no action was taken, there could be severe penalties imposed and your position to defend the matter will diminish.

Therefore, it is wise to take each complaint presented seriously and to initiate an investigation into the complaint or allegations to determine the facts and execute appropriate steps to resolve the matter internally. Document everything from the information provided by the employee to the actions taken to substantiate or validate the matter. Handling employee concerns in this manner is both strategic and appropriate to enhance the risk management of your employment practices.

* The opinions expressed are those of the author and do not necessarily reflect those of the ownership or management of Chadds Ford Live. We welcome opposing viewpoints. Readers may comment in the comments section or they may submit a Letter to the Editor to editor@chaddsfordlive.com

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About Warren Cook

Warren S. Cook is a co-founder of SymbianceHR and leads all client-consulting engagements. He is a human capital strategy management subject matter expert with more than 20 years of experience as a strategic business partner, project manager, and people leader across private and public sectors organizations. Warren is responsible for all client-consulting engagements from initial needs assessment and compliance review through delivery of customized complex human capital strategy solutions that meet the client's business goals. He has a proven track record of providing executive coaching and guidance to business leaders and human resource professionals at all levels including the C-Suite of Fortune 100 companies. Warren combines his human capital, project management, and business management experience with a philosophy of solving business challenges through the strategic implementation of policies, processes, and procedures to deliver sustainable solutions that demonstrate ROI, mitigate and manage risk, and empower organizational success. Warren is the author of “Applicant Interview Preparation – Practical Coaching for Today” and holds a bachelor of science degree in human resource management, a master’s of business administration in project management, and a master’s of science degree in industrial and organizational psychology. He is also a SHRM Certified Professional.

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