An important component of prioritizing a wellbeing within your workforce is ensuring that every person feels safe at work. Unfortunately, that isn’t always the case when it comes to harassment in the office. Companies have a responsibility to investigate internal harassment complaints and take prompt, appropriate corrective action when it happens. This blog outlines a six-step roadmap of best practices for handling harassment complaints:
1. Plan ahead
- Maintain compliant harassment policies and provide regular harassment training covering all required topics (MMA HR Consulting Center of Excellence can help).
- Clearly communicate the procedure for reporting complaints to the entire staff.
- Designate individuals to oversee the process for handling complaints.
- Identify and train internal investigators to conduct investigations.
- Establish a crisis management team in advance (generally legal, human resources, IT, and communications, or public relations) to manage investigations.
2. Initial steps after receiving a complaint
- Determine whether a formal investigation is necessary and define the appropriate scope of the investigation.
- Consider placing the accused on paid administrative leave pending the investigation. Some factors to consider include whether the accused poses a potential safety risk, intimidates witnesses, or otherwise impedes the investigation.
- Take appropriate interim steps to prevent harassment and retaliation, such as separating the accused and the complainant, instruct the accused not to communicate with the complainant, or to place an upcoming performance review on hold pending the conclusion of the investigation.
- Best practices for selecting an investigator who may need to testify in any legal proceeding.
- Investigators must be free from actual or apparent bias or conflict of interest. For example, an investigator should not investigate the conduct of the investigator’s superiors or friends.
- Determine whether to retain an outside investigator. Considerations could include neutrality, a higher level of experience or expertise, and/or comfort testifying in court if that outcome appears possible.
- Evaluate whether to retain a lawyer to conduct the investigation and whether the investigation will be covered by attorney-client or attorney work product privileges. The company can decide later whether to waive a privilege and rely on the investigation as part of a litigation defense.
- Preserve relevant evidence, including emails, texts, and internal messages. Involve IT as necessary.
- Develop a public relations strategy if media coverage or publicity is anticipated.
3. The investigation process
- Prepare questions for the complainant, witnesses, and accuser in advance.
- Conduct investigations promptly. Misconduct should be corrected as soon as possible.
- Determine an investigation plan but remain flexible. The number of witnesses interviewed, and documents reviewed should be appropriate to the situation.
- Facilitate the investigator’s access to the relevant witnesses and the documents.
- Approach the investigation with an open mind. An investigation is a fact-finding mission to advise the decision-maker if the alleged conduct occurred and, if so, determine if it was a violation of policies.
- Consider the order of witness interviews and the information shared with witnesses. Typically, a best practice is to interview the complainant first and the accused last.
- Witnesses should be told that the company will maintain confidentiality consistent with the need to investigate.
- Document interviews contemporaneously and consider having witnesses submit or sign statements.
4. Reporting the findings
- Decide whether a written report is necessary, and the level of detail required for the report.
5. Determine who will decide and take appropriate corrective action
- Corrective action should be at an appropriate level to remedy past behavior and prevent future harassment and retaliation, such as discipline, coaching, further training, termination, and implementing measures to prevent harassment.
- Typically, decision-makers are not the same lawyers overseeing the complaint.
6. Close outs and other follow up after the investigation
- Inform employees involved in the investigation that appropriate action has been taken.
- Due to privacy concerns, the company may not be able to share specific information.
- Instruct employees to report any further concerns through the appropriate complaint channels.
- Remind employees retaliation is prohibited and should be reported promptly.
As your organization continues searching for ways to ensure your employees are well, be sure to remain responsive. For additional guidance on improving your employees’ overall wellness, click here.
