Legally Compliant Investigation of Internal Complaint

1. Legally Compliant Investigation of Internal Complaint July 2017 The Krizner Group

2. How Do We Minimize Exposure? • Affirmative Defense • The Investigation • Be Mindful of Tangible Employment Actions The Krizner Group

3. Steps to Affirmative Defense • Adopt Policy • Communicate Policy • Monitor • Enforce www.eeoc.gov The Krizner Group

4. Who Will Do Investigation? • Internal Means Impartial • No Pre-existing Relationship • No Advance Knowledge of Facts • Outside Assistance

5. T.I.P. • Thoroughness • Impartiality • Promptness What Who Why When Where Who Saw The Krizner Group

6. Thoroughness • Witnesses • Questions • Credibility • Remedial Measures The Krizner Group

7. Impartiality • Qualifications of Investigator • Assurances to Participants • Confidentiality The Krizner Group

8. Promptness • Fact Finding • Intermediate Measures • Final Results • Recommendations • Report Results The Krizner Group

9. Initial Interview • Basis for Complaint • Alleged Wrongdoer(s) • Witnesses • Documents/Evidence • Relief Requested The Krizner Group

10. Alleged Wrongdoer Interview • Establish Action • Was “x” a factor in your decision/action? The Krizner Group

11. Careful What You Create • Notes • Tape Recordings • E-mails The Krizner Group

12. Follow-Up • Reaffirm Company Policy • Retrain • Appropriate Corrective Action • Report to Complainant The Krizner Group

13. Let’s Do One Together….

14. What do you do? Upon arrival at work one Friday morning you have a voicemail from Jorge, who works in the IT Department, saying he needs to speak with you regarding an urgent personnel matter concerning harassment. He says he’ll call you back later. The Krizner Group

15. Facts from Jorge’s file • Employed 3 months • Recruited from technical program usually attended by low-income students • Whit Snow is his manager • No record of any disciplinary issues The Krizner Group

16. Facts from Whit Snow’s File • Employed 7 years • Positive reviews • Promoted 3 times • No disciplinary action The Krizner Group

17. Initial Interview – End of the day Jorge asks for confidentiality right away and refuses to go forward with the discussion until you promise you won’t disclose your source. What do you do/say? The Krizner Group

18. Jorge’s story When he arrives at work he is greeted with “Hola, Taco” or “Que pasa, Chico” by the guys. This has been going on since he began working here. He tried to overlook it. He needs this job! He thought Mr. Snow would stop it when he heard about it. But he didn’t. Jorge is offended. The Krizner Group

19. Notes from Jorge Interview • National origin/racial remarks • Not a new issue • Complained to his manager • Manager didn’t stop behavior What’s your next step? The Krizner Group

20. Any Immediate Intervention? • Transfer Jorge? • Transfer Snow? • Paid Administrative Leave? The Krizner Group

21. Plot Thickens • On Monday morning, when you arrive, you have a voicemail from Jorge. He’s very upset! • He reports he received a threatening message on his home phone over the weekend and someone posted racial comments in his cubicle. “You promised this would be handled discreetly!” The Krizner Group

22. Whit Snow Interview • Arrives on-time. (Calm, cool and collected.) • Yeah, Jorge complained to him. I told him, “This kind of ribbing goes on in every IT Department in every company in the universe. It’s not personal. Heck, I get called “Albino.” • Jorge is just overly sensitive. No one has ever complained before. (Agitation increasing) • He spoke with Jorge about this one day last week. • But, now today…. (Highly agitated) The Krizner Group

23. More from Snow… • Says Jorge left work after being told he was being sent to southside site for 2 week assignment. Said he had an emergency. • “Everyone knows you can get a temporary assignment at a different site.” (Raised voice) • Jorge “went off” when I told him. Said I was “getting back at him” and charged off. • Getting back at him for what? (Shouting) What’s your next step? The Krizner Group

24. Snow spoke with Jorge alone both times Snow was surprised when Jorge “went off.” It’s a well-known fact you can get temporary duty elsewhere. Jorge didn’t tell Snow the nature of the emergency. Snow doesn’t think he had an emergency at all. Jorge’s sudden departure caused a lot of problems for Snow. Had to reschedule a lot of folks Snow doesn’t know anything about any threats or notes in his cube. First he’s heard of it. Snow wants Jorge fired for insubordination and job abandonment. Notes from Snow Interview The Krizner Group

25. Where do you go from here? • Any other Hispanic employees in the IT department? • Has anyone else in the IT department complained? • Who had access to Jorge’s cubicle? • Who arrived first in the building that works around Jorge’s cube? • Are there security cameras? • Where is Jorge now? The Krizner Group

26. More issues • Do you delay Jorge’s assignment to the southside? • What facts are uncontested? • Which are contested? • What’s unknown? • What’s your theory? • Who has a need to know? The Krizner Group

27. An investigation will always have a downside. Keep in mind, that no matter what the downside, an investigation affords you and your employer the opportunity to demonstrate to a complainant, your employees, an investigating agency and, ultimately, a court, that your organization took reasonable care to prevent and correct workplace misconduct. Council on Education in Management The Krizner Group

28. Thanks! Need More Info? Joyce Chastain The Krizner Group (850) 386-3747