How you respond to employee complaints could make the difference between promptly and effectively solving the problem and fighting an expensive lawsuit. At a minimum, an appropriate investigation can demonstrate you acted fairly and in good faith, should your responsiveness ever come under scrutiny. Successful handling of complaints requires having a uniform workplace investigation policy in place, and then approaching each complaint in an organized and consistent way. The following guidelines will help you in implementing or improving your employee complaint procedures:

• Use a Standard Employee Complaint Form - Using a standard form will allow you to get crucial facts at the outset and help define the problem. Have the employee fill it out in his/her own words, as you want the employee's best recollection of the facts. If you're later sued, the original written complaint can be critical to your defense if stories change along the way.
• Explain the Procedures - Tell the employee that the matter will promptly be investigated under the complaint policy and explain the procedure. Mention that someone else may interview the employee later to obtain information. Advise the employee there will be no retaliation for coming forward with a good faith complaint. Do not promise confidentiality, but explain the investigation will be conducted as discreetly as possible.
• Select an Investigator - Choose a neutral party such as a non-involved manager or human resources department employee. The investigator should have credibility, knowledge of company policies and relevant law, and strong interviewing skills. In cases involving sex discrimination or harassment, it may be a good idea to have both a male and female investigator.
• Interview Witnesses - Compile a list of potential witnesses. Start the investigation as soon as possible after the complaint is made since memories will be fresher and you may be able to stop the problem from escalating. Do not allow anything to be discussed off the record, and take notes during the interviews. Make sure to note the name of the person interviewed, the date, time, location, length, and who was present. Ask the witness not to discuss the interview with anyone other employees in order to to prevent rumors.
• Reach a Conclusion - Analyze the information, evaluate the witnesses' credibility, verify information, and come to a conclusion.
• Determine Appropriate Action - If discipline is warranted, keep in mind that it should be proportionate to the offense committed. Consider how serious the behavior was, whether the employee knew the conduct was prohibited, whether the incident was isolated or continuing, whether there was a prior warning, and how similar incidents have been handled in the past. Any decisions you make, including taking no action, should be documented in the employee's personnel file.
• Follow Up - Inform the complaining worker and the accused of the outcome of the investigation. Ask the complaining party to advise you if there are further problems. Tell other employees of the outcome only to the extent they need to know.

ESKRIDGE LAW may be contacted by phone (310/303-3951), by fax (310/303-3952), or by e-mail (geskridge@eskridgelaw.net.) Please visit our website at www.eskridgelaw.net or www.employmentattorneys.net.

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