What should a compliance professional do first upon receiving a complaint about unfair discipline?

Upon receiving a complaint about unfair discipline, the most appropriate first step for a compliance professional is to contact the employee to gather more details. This approach is crucial because direct communication with the complainant allows the compliance professional to obtain firsthand information about the situation. This may include understanding the context of the complaint, specific incidents that led to the disciplinary action, and any relevant documents or witnesses that the employee can provide.

Gathering detailed information from the complainant establishes a comprehensive understanding of the issue at hand and helps assess whether the complaint has merit. It also demonstrates a responsive and proactive approach to handling the complaint, fostering an environment of trust and openness among employees. This initial interaction can inform subsequent steps, such as reviewing policies or consulting legal counsel, as it can reveal if there are specific nuances or factors that need to be addressed.

In contrast, conducting a performance review or reviewing disciplinary policies without first gathering information can lead to misinterpretation of the situation, as policies may not align with the nuances of the individual's case. Consulting legal counsel may also be premature without fully grasping the details of the complaint, which might mean that the professional hasn't yet identified the need for legal expertise. Therefore, the most effective first action prioritizes direct communication with the complainant to