Harassment complaints can pose significant liability risks for employers, and failing to respond appropriately can amplify those risks. As a result, when faced with harassment complaints, employers must take the necessary steps to protect themselves. This starts with conducting an internal investigation. While conducting an internal investigation is just one step in the process, it is a process in itself—and working closely with an experienced New York employer defense attorney is critical for avoiding costly oversights and mistakes.
7 Key Steps for Investigating a Harassment Complaint in New York
Here is an introduction to the process of conducting an internal investigation in response to a harassment complaint in New York:
1. Receiving and Acknowledging the Complaint
A key first step in responding to a harassment complaint is receiving and acknowledging it. While employers may have documented procedures for reporting harassment, they should not ignore complaints submitted by employees through other means. Employers need to take all harassment allegations seriously, and they should focus on making informed decisions about the company’s next steps as soon as possible.
After receiving a harassment complaint, an employer should acknowledge receipt with the complaining employee. The employer should engage its outside counsel at this stage as well, as it will be necessary to determine what additional information (if any) is needed from the complaining employee at this stage.
2. Assigning Roles and Responsibilities
Another key early step in the process is assigning roles and responsibilities. It will be critical to have the right people involved in the employer’s investigation—both internally and externally. If the employer has documented processes for responding to harassment complaints, these roles and responsibilities may have already been identified. If not, then roles and responsibilities will need to be assigned to appropriate personnel promptly.
Among other key considerations, anyone facing allegations related to the harassment complaint should not have a role in the investigative process. Likewise, assigning the alleged harasser’s supervisor, subordinates, or friends to the investigation could compromise the integrity of the process.
3. Preserving All Potentially Relevant Records
Preserving all potentially relevant records is an essential step when facing any type of complaint and/or the threat of litigation. In the context of a harassment complaint, this includes the complaint itself, any communications between the accuser and the accused, any other potentially relevant communications, and the accuser’s employment records. But this list is by no means exhaustive.
Determining which records should be preserved in any particular case will require an assessment of the specific circumstances. This assessment should be conducted by the employer’s legal counsel, who should also oversee the record preservation process to ensure it is both adequate and legally compliant.
4. Reviewing Potentially Relevant Records and Preparing Interview Questions
With roles and responsibilities assigned and all potentially relevant records preserved, the investigation into the accuser’s harassment complaint can begin. At this stage, two key steps are:
- Reviewing Potentially Relevant Records – All potentially relevant records should be reviewed with a focus on gaining an unbiased understanding of the veracity of the accuser’s harassment complaint.
- Preparing Interview Questions – Based on what is known (and unknown) following this review, the employer’s legal counsel should prepare interview questions for the accuser, the accused, and any potential witnesses.
With that said, these steps don’t necessarily have to occur in sequence. There may be various reasons to conduct one or more interviews before completing a comprehensive review of all potentially relevant records. Additionally, in some cases, relevant records (i.e., text messages sent from employees’ personal cell phones) may only come to light through the interview process.
5. Conducting Interviews with Appropriate Personnel
Conducting employee interviews is a key aspect of any internal harassment investigation. As noted above, this will typically include interviewing the accuser, the accused, and any other personnel with direct or indirect knowledge pertinent to the inquiry.
Each of these interviews will involve asking different questions, and each will require a different approach. Interviewers also need to have a clear understanding of their obligations and employees’ rights. Not only can ineffective interviewing leave employers without the information they need, but, in the most severe cases, it can lead to additional liability exposure.
6. Assessing the Employer’s Risk Under Local, State, and Federal Law
After gathering sufficient information, the next step is to assess the employer’s legal risk. For employers in New York, this involves assessing their risk under local, state, and federal law. Multiple laws—including (but not limited to) Title VII of the Civil Rights Act of 1964, the New York State Human Rights Law (NYSHRL), and the New York City Human Rights Law (NYCHRL)—prohibit harassment in the workplace and establish liability for employers whose employees engage in harassment on the job.
7. Making Informed Decisions About Next Steps
Finally, after assessing their liability exposure, employers that are facing harassment complaints in New York can make informed decisions about their next steps. Whether this involves refuting the employee’s allegations, pursuing a confidential settlement, or preparing to defend against them in formal legal proceedings will depend on the circumstances. In all cases, it will also be worthwhile for employers to revisit their anti-harassment policies and training programs to determine if any additional or remedial measures are necessary.
Speak with a New York Employer Defense Attorney at Bell Law Group in Confidence
Our attorneys represent employers throughout New York facing harassment complaints from current and former employees. If your company is facing a harassment complaint, we encourage you to contact us promptly for more information. To speak with an experienced New York employer defense attorney at Bell Law Group in confidence, give us a call at 516-280-3008 or tell us how we can reach you online today.
