Corrective Action

Purpose of Process:

A company must adequately investigate claims of discrimination, sexual harassment or hostile work environment in order to avoid costly lawsuits and settlements.

Recommended Steps in the Process:

1. Set up a meeting with the employee as quickly as possible after hearing of the complaint.
   
   
2. If the complaint represents alleged unlawful behavior (e.g. discrimination, harassment, theft, etc.), discuss with legal counsel the possibility of establishing Attorney-Client Privilege.
   
   
3. During the initial meeting, ask the employee to describe in detail the events surrounding the complaint. Ask open-ended questions.
   • Is the employee aware of this ever happening to anyone else?
   • Is the complaint about one specific manager or employee?
   • Are there other managers or employees who behave similarly?
   • Were there any witnesses?
     
     
4. Document the initial meeting in detail.
   
   
5. Determine if complaint is related to unlawful behavior or an employee relations complaint. Unlawful behavior includes:
   • Discrimination based on race, religion, gender, national origin, disability, marital status, sexual orientation or any other category protected by state or federal law
     
   • Harassment that results in a hostile or intimidating work environment that interferes with work performance or otherwise adversely affects employment opportunities.
     
     
6. If the complaint represents an employee relations issue try to resolve the issue by involving all affected parties in developing a solution.
   
   
7. Limited the investigation to those individuals who strictly have a "need to know." This will generally include the HR Director, the investigator, and affected management as appropriate.
   
   
8. Review personnel files to obtain background information on the alleged perpetrator and of complainant. Try to predict what potential problem may be encountered in the ensuing investigation.
   
   
9. Notify the alleged perpetrator of the complaint and set up an interview with him/her early in the process. Thoroughly document the discussion.

   
   

10. Set up interviews with any witnesses and thoroughly document all discussions. Give the accused individual the opportunity to have the last word after all the other witnesses have been interviewed.
    
    
11. Try to resolve discrepancies by re-interviewing critical witnesses and encouraging them to call back if they think of anything else to add. Consider information challenging the alleged victim's credibility and address it in the final analysis and report.
    
    
12. Upon completion, prepare a written analysis of interviews.
    
    
13. Review the analysis and documentation with management and legal counsel to determine the scope of liability. Determine the appropriate action to be taken.
    
    
14. Disciplinary action, if required, will be initiated by cognizant management (see Disciplinary process).
    
    
15. Advise the complainant of the outcome of the investigation.
    
    
16. If the employee's complaint was collaborated, try to reconcile the problem. For example, give the employee the promotion that was denied due to discrimination, or offer to move the harassing employee, etc. (in addition to the disciplinary action decided above)
    
    
17. If the employee's complaint was collaborated, or even if the results were unclear, consider providing training to the work group on company policy or regulations pertaining to the complaint (e.g. Equal Opportunity or Harassment, etc.).
    
    
18. If the complaint was not supported by facts or witnesses, or if the results were unclear, notify the alleged perpetrator, and consider counseling him/her on avoiding misperceptions. Also, discuss the results with the complainant. Remember that perceptions can vary among people. Focus the discussion on moving forward and avoiding these misperceptions in the future. Encourage communication.

Process Tips:

Designate a neutral employee (Human Resources Representative) to investigate all employment related complaints to assure consistent and comprehensive investigations. Have the investigator attend an investigation training class(es) or seminar(s). Train your managers to inform Human Resources of complaints. Some cases will require the protection of Attorney-Client Privilege.

The Federal Trade Commission (FTC) issued an opinion letter that third parties conducting workplace investigations (including sexual harassment investigations) are consumer-reporting agencies under the Fair Credit Reporting Act. That means outside investigators would be required to obtain permission of the person being investigated to conduct the investigation, and the investigated employee would have to be given a copy of the investigator's report. Therefore, employers should consider keeping investigations in-house.

How HRSource™ Can Help:

Use HRSource™ to document the parties involved in the investigations and their resolutions.