Receive the Complaint
Explain procedures. Tell the complainant that the matter will be promptly investigated and explain your procedures for investigation. Mention that someone else may interview the employee later to obtain additional information. Advise them that there will be no retaliation for coming forward with a complaint made in good faith and tell them to report any perceived retaliation immediately.
Discuss confidentiality. It is important not to promise confidentiality. But explain that the investigation will be handled as discreetly as possible, and information will be disclosed only on a “need to know” basis.
Written complaint. If the employee would like to provide a written complaint, that can initiate the investigation. The complaint should be written out before you begin the investigation because the employee’s description of the problem will determine how you proceed with the investigation.
Employee’s own words. It is best to have the employee explain the concern in their own words. You want the employee’s best recollection of the facts, not what other people remember.
Review complaint. After the employee has written out the complaint, or discussed the complaint with you, go over it with the employee to make sure you understand the concern. Verify that the information is complete and accurate.
Plan the Investigation
The first step in conducting any investigation is to develop a plan. Who do you need to interview? What questions will you ask the complainant, the witnesses, and the alleged perpetrator? In what order should you conduct the interviews? What documents do you need to review? All of these questions should be answered before starting the actual investigation. It is strongly recommended that consult with your manager and Employee & Labor Relations prior to beginning the investigation, or in cases of alleged discrimination, harassment or sexual harassment, you will want to contact the County’s Equal Employment Opportunity Manager.
The supervisor is responsible for documenting the allegation in as factual and complete a manner as possible, asking the source of the allegation such questions as:
- What occurred?
- Who was involved?
- When did it happen (time/date)?
- Where exactly did it take place?
- Were there any possible witnesses (oversee and/or overhear) to the event?
- Any other details pertinent to the complainant’s observation of the event.