Security and Investigations Advice for HR Professionals

CIO — Misconduct allegations are an unfortunate fact of corporate life. Security is not always the first department contacted with allegations of this type, but it's usually the department whose staff has the necessary investigative skills. Attorney John Thompson  provides help for non-security colleagues in handling complaints effectively in his book The Human Resources Response to Misconduct Allegations (published by The Security Executive Council). Here he summarizes key tips for human resources professionals approached with misconduct concerns.

"I need to tell you about this guy who's been harassing me, but I won't tell you unless you promise not to do anything about it." The employee who tells you this seems very upset, yet very insistent that you promise not to act upon the information she wishes very much to tell you. How do you handle this as a human resources professional?

If you don't agree to keep quiet, you may never learn the information necessary to stop what could be illegal or even criminal activity committed in your workplace. The legal ramifications--not to mention the effect upon your employment status--could be tremendous. On the other hand, if you make the promise and keep it, you could be complicit in that same illegal or criminal activity. What if you make the promise, then break it, and the harasser finds out the woman complained and assaults her? These sound like lose, lose and lose propositions.

There are other approaches to the above dilemma, but they often require sophisticated interviewing and counseling skills.

Let's begin with the end in mind: The complainant has put the company on notice, and you must resolve the problem. Your failure to obtain the facts and prevent future harassment would create an enormous risk of legal liability for the company and possibly yourself. For example, if the harassment is sexual harassment under the law, the company would be liable because you knew or should have known about the harassment and failed to take prompt and appropriate corrective action.

Of course, there is no cookie-cutter solution to this dilemma because complainants come in a variety of shapes and sizes. Let me suggest several approaches, in order of preference, that might allow you and your company to obtain the information you need without running inappropriate risks.

The first approach is to convince the complainant to withdraw her (in my example) demand for inaction on your part. Consider the following techniques:

• Ask her what her goal is; she probably will say she wants the behavior to stop. Explain that you cannot help her achieve that goal unless you are free to take appropriate action.
• Explain that, legally, she has put the company on notice and you must act. If she knows that her promise would put the company and you in a tough spot, she might be more inclined to provide information.
• Explain that if you cannot stop the harasser, he (in my example) could hurt others. Most harassers are "serial" harassers, and there will be other victims unless she helps you stop this person. In other words, appeal to her desire to protect and help others.
• Explain that you will do everything you can to protect her privacy, consistent with the needs of your investigation. Make sure she knows that you understand her desire for privacy and assure her that you will limit disclosure of information to those who truly need to know.
• Ask her why she doesn't want you to do anything; she probably will express a fear of retaliation by the harasser. Explain that she has a legal right to be free from retaliation and that you can help protect her from any type of retaliation.

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