An employee walks into your office and tells you that a coworker has been
making inappropriate comments. Maybe they believe their manager is
treating them unfairly, a company policy is being applied inconsistently, or
they are experiencing harassment or retaliation.
Employee complaints can range from relatively straightforward workplace
concerns to allegations involving significant legal or employee-relations risk.
The goal should not be to immediately determine who is right or wrong. Your
first responsibility is to understand what is being alleged, whether
immediate action is needed, and what information should be gathered to
evaluate the concern fairly.
For small businesses without a dedicated HR department, having a
consistent process can make all the difference.
When an employee raises a concern, start by listening.
Do not interrupt, minimize the complaint, defend the other person, or
promise a particular outcome. Instead, allow the employee to explain what
happened in their own words.
Let them know you will take notes and ask follow-up questions so you can
accurately understand the situation.
During the conversation, gather the basics: what happened, when and where
it occurred, who was involved, whether there were witnesses, whether similar
incidents have happened before, and what evidence may exist.
Evidence could include emails, text messages, chat messages, photographs,
schedules, security footage, access records, or other documentation.
It is also helpful to ask whether the employee previously reported the
concern to a manager or anyone else and what happened afterward. This
allows you to identify anyone who may already have knowledge of the
situation.
Finally, ask what the employee hopes will happen. This does not mean the
company is agreeing to their requested outcome—it simply helps you
understand their concerns and manage expectations.
Before ending the conversation, summarize what you heard and give the
employee an opportunity to clarify or add anything that may have been
missed. Remind them that retaliation is prohibited and that they should
report any additional concerns.
Once you understand the complaint, determine whether anything needs to
happen immediately.
Is anyone's safety at risk? Is the behavior continuing? Could evidence
disappear? Is there a concern about retaliation? Would continued interaction
between the employees create additional problems?
Depending on the circumstances, temporary measures may be appropriate
while the matter is reviewed, such as separating employees, modifying
schedules or responsibilities, or placing an employee on paid administrative
leave.
These measures should be based on the circumstances and should not be
treated as proof that an allegation is true.
Next, identify what you are actually investigating.
Create a basic timeline of the reported events, identify potential witnesses,
determine what records or evidence need to be collected, and note any gaps
that should be explored during interviews. Preserve evidence early whenever
possible—security footage can be overwritten, messages can be deleted, and
memories become less precise over time.
For serious allegations involving harassment, discrimination, threats,
workplace violence, senior leadership, or potential legal exposure, consider
involving an experienced HR professional, employment counsel, or outside
investigator.
Interview people separately so that each person can provide an independent
account.
Start with open-ended questions such as: “Tell me what happened,” “What
did you see or hear?” and “Who else was present?” Then ask follow-up
questions to clarify details and explore inconsistencies.
Avoid questions that tell the witness what you expect them to say. The goal is
to gather information—not prove the reporting employee right or wrong.
The employee accused of misconduct should also receive a fair opportunity
to respond to the allegations. Present the concern neutrally and allow them
to explain what happened from their perspective.
For example:
“A concern was raised that you made comments about an employee's
appearance on several occasions. I'd like to understand what happened from
your perspective.”
If evidence conflicts with the employee's account, give them an opportunity
to explain.
For example:
“You mentioned that you were not in that area at the time. We reviewed
information indicating you may have been there. Can you help me
understand the discrepancy?”
Interview order will depend on the circumstances. New information may
also require additional witnesses or follow-up conversations with people you
have already interviewed.
That is normal. A thorough investigation does not always mean speaking with
each person only once.
Throughout the process, document what was provided and keep the
information limited to those who need it to participate in or manage the
investigation.
After interviews and evidence collection are complete, review the information
as a whole.
Look at which facts are undisputed, where accounts conflict, whether
documentation supports either version of events, and whether witnesses
have firsthand knowledge.
Credibility should be evaluated objectively. A witness is not automatically
credible because their statement supports the complaint, and someone who
provides a different account is not automatically unreliable.
The question is: What does the available evidence reasonably support?
Document the findings for each allegation. Depending on the organization's
process, this may mean determining that an allegation was supported, not
supported, or that there was insufficient information to reach a clear
conclusion.
Once findings have been reached, determine what response is appropriate.
Depending on the circumstances, corrective action could include coaching,
additional training, policy clarification, formal discipline, reassignment,
suspension, or termination.
The response should be proportionate to the conduct established, consistent
with company policy and past practices, and documented appropriately.
Keep in mind that an investigation may identify workplace issues beyond the
original complaint. Even if the primary allegation is not supported, the
process may uncover poor management practices, inconsistent policy
enforcement, communication problems, or training opportunities that still
need to be addressed.
Once the investigation is complete, follow up with the employee who raised
the concern.
Let them know that the matter was reviewed and appropriate action was
taken based on the findings. You generally do not need to disclose
confidential disciplinary information involving another employee.
Remind the employee to report any additional concerns or behavior they
believe may be retaliatory.
Retaliation is not limited to obvious actions such as termination or demotion.
Changes in scheduling, exclusion from meetings, reduced opportunities,
threats, or other negative treatment following a complaint may also raise
concerns depending on the circumstances.
A follow-up check-in several weeks later can help ensure that the issue has
actually been resolved rather than simply documented and forgotten.
Some of the biggest investigation mistakes happen before the investigation
ever gets underway. Employers should avoid dismissing complaints because
they seem minor, promising complete confidentiality, guaranteeing a
particular outcome, immediately taking sides, unnecessarily sharing
information about the complaint, delaying the investigation, or failing to
document what occurred.
Most importantly, never retaliate against an employee because they raised a
concern or participated in an investigation.
Organizations that handle employee complaints effectively are not
necessarily the ones that experience the fewest workplace problems. They
are the ones that know what to do when a concern is raised.
Managers should understand how to receive complaints, employees should
know where to report concerns, and leadership should know when a
situation requires additional HR or legal support.
For small business owners, you do not have to become a workplace
investigator overnight. Having the right HR partner can help ensure concerns
are handled promptly, consistently, and appropriately while allowing you to
stay focused on running your business.