When an employee experiences unwelcome sexual advances, requests for sexual favors, and/or other verbal or physical conduct of a sexual nature in the workplace, the first course of action is to notify a manager. The manner in which the manager handles this information has a profound impact on the organization. If the aggrieved employee is satisfied with his or her treatment and with the resolution of the allegations, there is a lesser chance that he or she will file an external complaint or lawsuit.

Therefore, when a complaint, accusation, assertion of employee misconduct, or rumor of something amiss comes to a manager's attention, the manager is responsible for informing the employer or human resources representative so that an investigation can be initiated immediately.

Any and all allegations of sexual harassment should be investigated thoroughly. Employers have a legal obligation to do everything reasonable to stop the conduct. A company's liability can depend on how it handles a complaint. If properly and promptly carried out, the investigation can offer several benefits to the employer:

• Self-monitoring ensures that managers, supervisors, and employees are complying with employment laws and company policies and guidelines.
• There is less of a chance that employees will be disciplined or terminated for something they did not do.
• The risk of potential legal action is reduced.
• Employment decisions are based on unbiased investigation data thereby lessening the perception of unfair or unjust treatment.
• Employees have a greater understanding that their employer is committed to objective and fair treatment of staff.

Informal and Formal Investigations
Depending on the nature of the complaint, sometimes an informal inquiry provides all the information needed to reach a conclusion and resolution. During the initial meeting with the complaining employee, all the facts and issues should be identified including who was involved, and what, when, where, why and how the incident happened. This information should assist in determining whether a formal investigation is necessary. Typically, an informal approach will usually result in a resolution if the matter:

• concerns a misunderstanding of company policy;
• involves a lack of communication between the complaining employee and his or her supervisor or co-worker;
• needs no other facts to resolve the issue;
• requires no other resources for impartial and timely resolution; or
• is amenable to informal resolution.

An event that is subject to an informal investigation should be handled just as seriously and expeditiously as a more serious matter. It is here that the employer can prevent an issue from playing itself out in a larger arena.

Inquiry of a more formal nature is usually necessary if:

• additional facts are needed;
• the employee is unable to supply the investigator with the necessary facts;
• other employees need to be interviewed;
• documents need to be reviewed; or
• special expertise is required to obtain in-depth data and analysis.

Steps When Conducting Investigations

Step 1: Designate Complaint Investigators
Choose the organization's official complaint investigators. This needs to consist of a minimum of one male and one female. Individuals often feel more at comfortable discussing sensitive issues with someone of the same gender. The investigators should be trustworthy, respected, and neutral. Candidates include HR professionals, EEO specialists, administrative managers, and in-house counsel. Outside legal counsel may be necessary in particularly sensitive situations. All investigators need a general knowledge of sexual harassment law, policies, and procedures.

Step 2: Get the Complaint in Writing
A description of the alleged events is helpful in framing the scope of the investigation. Once the details of the incident are written, the investigator needs to ensure that 1) all of the pertinent information is included and accurate, 2) all necessary changes have been made, and 3) the employee signs the complaint to acknowledge that it is precise. The names of all parties concerned should also be included.

Step 3: Gather Information
Once the complaint has been signed, the following actions should be taken.

Perform Preliminary Measures. It may be necessary to perform preliminary measures before completing the investigation to ensure that further harassment does not take place. For instance, schedule changes may be necessary to limit contact between the parties. The complainant should not be involuntarily transferred or otherwise burdened, since such measures could constitute unlawful retaliation.

Prepare for Interviews. Make a list of questions to be asked of each person interviewed, a list of the individuals to be interviewed, and determine the order of the interviews. This will provide a structure for the investigation and provides an efficient means for comparing the information.

Conduct Interviews. Once the plan is ready, the investigator can initiate interviews with the alleged offender and any individuals named in the complaint. The investigator should have all persons who are interviewed relate what they know about the incident, ask that the discussion be maintained in confidence, and refrain from making accusatory statements during the interviews. After each interview, investigators need to make credibility judgments of the interviewee and record that information in the investigation files.

Present Information. The alleged offender should be given a detailed account of the complaint so he or she can respond fully with his or her version of the incident.

Review Histories. The investigator should review the personnel files of the complainant, alleged offender, and all witnesses. Factors that should be taken into account include whether the alleged offender has a history of improper conduct, the employee has filed similar complaints in the past, or witnesses have been involved in previous investigations.

Step 4: Reach a Determination
After collecting the information, the investigator must determine whether the allegations are true. If sufficient evidence of sexual harassment has been found, the disciplinary action will depend on the seriousness of the incident and the previous history of the offender. The options need to be reflected in the company's employee handbook. Penalties can include a warning, suspension, demotion, reduction of compensation, or termination.

Step 5: Follow-up
Regardless of the outcome, the investigator should meet with the complainant periodically to ensure that there has not been further harassment or retaliation. These meetings should take place approximately two weeks, six weeks, and three months after the investigation. After each meeting, the investigator must write a note in the file stating issues, concerns, and outcomes of the meeting. If the conduct has occurred again or there has been some form of retaliation, the complainant must be informed to initiate another complaint using the same procedures.