| Contents | Previous | Next |
When supervisors are made aware of allegations of discrimination or harassment they must first determine if a fact-finding investigation is warranted. The first step is to talk with the alleged victim or complainant to determine the nature and specific circumstances surrounding the alleged offense. The following checklist outlines the necessary steps a manager or supervisor should take in response to these types of allegations.
When allegations of discrimination or harassment are made, a determination should be made as to whether or not a fact-finding investigation is necessary to address and correct the alleged concerns. When it is determined that an investigation is warranted, a qualified and trained investigator should interview the person alleging the complaint, the alleged offender and any third-party witnesses to the alleged incident.
The E.E.O.C. has made some recommendations for suggested questions to ask the complainant, the alleged harasser and third parties in their publication entitled, Enforcement Guidance on Vicarious Employer Liability for Unlawful Harassment by Supervisors (United States E.E.O.C. 1999a). The following section is adapted from this publication:
Questions For Complainants (Victims):
Who, What, When, Where And How:
Questions For The Alleged Harasser (Victimizer):
Questions To Ask Third Parties (Witnesses)
When a fact-finding investigation uncovers conflicting versions of relevant events, the employer must weigh each party's credibility. Credibility assessments can be critical factors in assessing the factual nature of alleged discrimination and harassment incidents. The E.E.O.C. suggests consideration be given to the following factors:
Inherent plausibility: Does the testimony make sense? Is it logical, coherent, realistic and plausible? Does it have "face value" believability and plausibility?
Demeanor: Did the complainant, third party or alleged offender seem to be telling the truth or did they appear to be lying?
Motive to falsify: Did any party (complainant, third party, or alleged offender) have a motive or reason to give false information during the interviewing or investigation?
Corroboration: Is there any testimony of witnesses or third parties including an eyewitness, people who had contact with the alleged victim immediately following the alleged offense, or individuals who discussed the offense with either the alleged victim or the alleged offender around the time the alleged offense occurred? Does any physical evidence exist that corroborates the testimony of either the alleged victim or the alleged offender? This could be written or recorded documentation or some other form of physical evidence.
Past record: Does the alleged offender have a prior history of similar offenses?
None of the above factors are absolute, objective determinations of credibility. The fact that there were no witnesses to the event does not mean that the alleged offense is a false accusation. Harassment and discrimination frequently occur in isolated circumstances in which no one else is present with the alleged victim and the alleged perpetrator. A past record of offenses is not sufficient evidence by itself that the current alleged offense is also a factual event.
After the fact-finding investigation is concluded, all the evidence is weighed and evaluated and all credibility issues are weighed and resolved, the management team must make a determination and finding of fact as to whether or not the alleged offense occurred. Both the alleged offender and the alleged victim should be made aware of the finding and determination.
If a determination cannot be made due to insufficient or inconclusive evidence, the company should still undertake additional preventive actions including training and skill development around prevention and confrontation of discrimination and harassment.
If a determination is made that the alleged offense did occur, then corrective action should be taken to stop the harassment or discrimination and to ensure that it does not recur. Examples of corrective actions include but are not limited to verbal or written warnings, internal transfer or reassignment of job duties, demotion, wage reduction, suspension without pay, or termination of employment. If termination of employment is not enacted, then training, coaching or counseling may be offered to the offender to increase awareness and understanding surrounding the events leading up to and including the policy violation.
If the offense has negatively affected the victim, then actions should be taken to correct these negative effects. These steps could include but are not limited to:
If you are successful in creating and maintaining an environment of respect, trust and inclusion, others will perceive you as approachable and open to honest feedback and confrontation when you have offended them. Being inclusive does not mean being perfect. Consistently taking responsibility for the wrongs you have committed will strengthen your relationships with everyone.
It is impossible to be in relationship with others without hurting or offending them at some point in time. You cannot be in relationship with others without experiencing conflict events.
Practicing the Nine Inclusion Supervision Skills you have learned in this book will help you contribute to healing the inevitable hurts and offenses that will occur and to effectively resolve conflicts that will inevitably arise when you work with other people.
Most complaints to outside agencies and most litigation ultimately occur because employees do not feel that they have a voice or an advocate within the workplace. They feel compelled to seek outside representation to ensure that their rights are protected and enforced. They want to be heard, to receive consistent and equal treatment, and to be valued and appreciated for their contributions to the company.
There are six tools that supervisors can use to take responsibility when they have offended someone. These are: (1) Actively listen for understanding, (2) Refrain from giving excuses, (3) Apologize sincerely, (4) Ask for more details to understand their perspective, (5) Acknowledge their feelings even if you don't understand, and (6) formulate an action plan for the future.
One: Actively Listen For Understanding
When someone takes the risk of confronting you because your words or deeds have offended them, they are hopeful that you will be able to understand their point of view. Ultimately they are probably also hoping for some form of reconciliation. They may be somewhat fearful of being misunderstood, of having their feelings discounted or minimized, or even of being rejected by you.
When someone confronts you with your own words or deeds that have been offensive and hurtful to them, it's not easy to be empathetic and understanding. Many of us tend to become somewhat defensive and guarded. If the impact we had was unintentional, it is even more difficult to accept the hurt that has been inflicted. If the impact was intentional, then it may be difficult to assume self-responsibility when we are confronted face-to-face with the hurt and pain.
Becoming defensive or trying to explain our intentions will not contribute to creating resolution. We must practice active listening skills even when we are the target or the cause of the conflict.
By listening for understanding, we can begin to rebuild the relationship. We can validate and affirm what he or she is feeling in the moment. We can seek clarification and deeper understanding.
By allowing the other person to tell their story, we honor their experience. We also gain understanding around the relationship between intent and impact from their point of view.
Two: Refrain From Giving Excuses
We may be tempted to give reasons or excuses for our words or actions. It is important that we refrain from this temptation. When you think that they may have told their whole story, ask for confirmation by saying something like, "Is there anything else you would like to tell me?" or "Do you feel like you've been able to express everything that has been on your mind since (specific comment or incident) happened?"
Three: Apologize Sincerely
When you have received confirmation that the whole story has been told, apologize sincerely, clearly and directly. Let's revisit Henry and Juanita and imagine that Juanita has confronted Henry by telling him that she was hurt by his unwillingness to involve her in family treatment. She felt that he was stereotyping her because of her gender and because of her social service experience. Here is how Henry might respond to her confrontation.
"Juanita, I appreciate your willingness and your courage in confronting me. Have you told me everything that has been concerning you about my treatment toward you here at the Family Service Center?"
"Juanita, I am so sorry for telling you that I thought you should just start out slow and easy in the intake role. I am sorry for assuming that you would need a lot of help and that you might struggle under pressure. I can understand now how that would make you feel minimized and excluded from the team."
Four: Ask For Details To Understand Their Perspective
If the other person is accepting of your sincere apology, then you may want to continue the conversation by asking for more details to better understand their feelings and perspective. By exploring the details, you may discover important information that will contribute to the action planning stage later in this process. Try to understand as much as possible about the context, the events leading up to the conflict, their perspective of the conflict and how they processed the event.
Five: Acknowledge Their Feelings Even If You Don’t Understand
If you still don’t understand, seek out a trusted colleague or supervisor to help you understand how you gave offense in the situation. You may even want to have a neutral, third party mediate your discussions so that together you can reach resolution and closure.
Six: Formulate an Action Plan For The Future
Use the Ten Conflict Resolution Skills presented in Chapter Seven as a guide. If you are able to reach the action planning stage without assistance, work together to establish some guidelines and boundaries for the future. You must both actively participate in crafting this agreement if you want it to be a successful resolution. A mutual commitment to work together and hold one another accountable will lead to growth and learning for both of you. If a mutually agreeable resolution cannot be reached without assistance, contact your immediate supervisor, the agency director or a human resources representative to help you mediate a resolution to the conflict.