Disciplinary and Harassment Investigations

 Supervisors report any complaints of misconduct to a designated employer representative, such as a human resources manager, so the employer can try to resolve the claim internally.  Employees are not exposed to retaliation as a result of lodging a complaint or participating in any workplace investigation. 19 On May 2, 2017, the DFEH issued its Workplace Harassment Guide for California Employers. The Guide provides comprehensive instruction to employers on how to investigate reports of workplace harassment. Although the Guide is focused on workplace harassment, and should be used for discrimination and retaliation claims as well, it is an excellent resource that should be consulted in conducting any type of investigation concerning employees. 2. D OCUMENT THE C OMPLAINT If the investigation is triggered by a complaint, it should be thoroughly documented. A complaint can either be made verbally or in writing. When a complaint is made verbally, a written summary of the allegations should be made immediately and signed by the complainant, or the complainant should be asked to place his/her complaint in writing. If the complainant refuses to sign a written statement of the allegations or to submit a written complaint, a written record of the complaint should still be made with a notation of the complainant’s reluctance to place his/her complaint in writing. Having a written record of the complaint will provide accuracy and clarity of the charges being investigated and will guide the investigator in conducting the investigation. The investigator should make sure he/she fully understands the allegations and issues presented by the complainant, as well as the relevant policies. An effective tool is for the investigator to write down his/her initial analysis of the complaint. 3. R EVIEW THE A LLEGATIONS : W HAT T YPE OF D ISCRIMINATION OR H ARASSMENT ? Investigations are better focused and elicit more relevant information if the nature of the complaint is well understood. After a complaint of discrimination or harassment has been received and documented, the allegations must be reviewed to determine what type of discrimination or harassment is alleged in the complaint. Unlawful harassment includes both hostile work environment and quid pro quo sexual harassment. Keep in mind that harassing conduct may violate an agency’s policy even though it would not constitute unlawful harassment.

Disciplinary and Harassment Investigations ©2020 (s) Liebert Cassidy Whitmore 11