ANTI-HARASSMENT POLICIES FOR THE WORKPLACE: AN EMPLOYER'S GUIDE
MARCH 2006
PURPOSE Employers are required by the Canada Labour Code to develop their own harassment policies. In addition, the existence of appropriate harassment policies and procedures will be a factor considered by the Canadian Human Rights Commission in evaluating a company's liability in harassment complaints. The purpose of the model policies is to assist employers in meeting these requirements. However, employers retain responsibility for preparing appropriate policies, monitoring their effectiveness, updating them as required, ensuring all employees are aware of the policy and providing anti-harassment training. TABLE OF CONTENTS INTRODUCTION PART 1: THE BACKGROUND 1.1 THE LAW 1.2 IDENTIFYING HARASSMENT 1.3 AN ANTI-HARASSMENT POLICY -- WHAT'S IN IT FOR ME?
PART 2: WRITING A POLICY 2.1 MODEL POLICIES -- HOW DO THEY WORK? 2.2 HOW TO WRITE AN ANTI-HARASSMENT POLICY 2.3 THREE STEPS TO A HEALTHY WORKPLACE 2.4 EDUCATING EMPLOYEES 2.5 WHAT SHOULD GO IN THE POLICY?
PART 3: MODEL POLICY FOR MEDIUM AND LARGE ORGANIZATIONS 3.1 ANTI-HARASSMENT POLICY STATEMENT 3.2 INFORMATION FOR VICTIMS 3.3 EMPLOYEES' RIGHTS AND RESPONSIBILITIES 3.4 EMPLOYERS' AND MANAGERS' RESPONSIBILITIES 3.5 ANTI-HARASSMENT POLICY PROCEDURES 3.6 RETALIATION 3.7 APPEALS 3.8 OTHER OPTIONS 3.9 MONITORING PART 4: CHECKLIST FOR AN ANTI-HARASSMENT POLICY: MEDIUM AND LARGE ORGANIZATIONS PART 5: SPECIAL CONSIDERATIONS FOR SMALL ORGANIZATIONS PART 6: MODEL POLICY FOR SMALL ORGANIZATIONS 6.1 ANTI-HARASSMENT POLICY STATEMENT 6.2 INFORMATION FOR VICTIMS 6.3 COMPLAINT PROCEDURES 6.4 POLICY CHANGES
PART 7: CHECKLIST FOR AN ANTI-HARASSMENT POLICY: SMALL ORGANIZATIONS PART 8: FREQUENTLY ASKED QUESTIONS: INFORMATION FOR EMPLOYEES APPENDIX A: LEGISLATION
INTRODUCTION Harassment, whether sexual, racial, based on a personal characteristic, or through abuse of authority, is more prevalent in our workplaces than many of us would like to think. Does it matter? Yes. Not only is harassment against the law, but as we will see in the following pages, it has a negative impact on employees, and costs employers money and productivity. An effective anti-harassment policy, in which education and training play key roles, is one of the most important steps to a harassment-free work environment. But writing an anti-harassment policy can be a daunting task. We have produced this information kit for that reason: to help federally regulated employers understand what harassment is; how it can happen; what the law says; what appropriate responses to it are; and, how to eliminate or at least minimize it in the workplace. We hope it makes writing an anti-harassment policy easier. No one policy can be applied to every workplace. Even within the same industry, and perhaps within the same organization, different workplaces will have different needs. Use this information kit as a workbook. You can adapt the examples, the language, and the suggestions to fit your own workplace. There are checklists and examples to guide you in creating your policy, and to help you explain harassment to your employees. You and they will be happier and more productive as a result. Although portions of this guide can be handed out to employees to help them better understand harassment and their role in preventing it, the material included here is intended primarily for the immediate benefit of federally regulated employers, and is written mainly from an employer's perspective. The guide is written with all federally-regulated employers in mind: large, medium, and small. There are two model policies included: one for medium and large employers, and one for small employers. The guide is written in sections, so that you need only work with the sections that apply to you, and so that you can copy and distribute those parts you think will be useful to your workforce. We gratefully acknowledge the assistance of Status of Women Canada and the Labour Program at Human Resources Development and Social Canada (formely Human Resources Development Canada) in preparing this document and thank those individuals and groups who provided valuable feedback when it was in draft form. PART 1: THE BACKGROUND 1.1 THE LAW Harassment is against the law Both the Canadian Human Rights Act and the Canada Labour Code protect employees from harassment related to work (see Appendix A, Legislation). Provincial human rights laws also prohibit harassment. And the Criminal Code protects people from physical or sexual assault. In order to fulfill their responsibilities under federal human rights legislation, employers should have a clear anti-harassment policy that their employees know about and understand. As well, the Canada Labour Code requires employers to have a policy statement on sexual harassment containing specific elements including how harassment complaints can be brought to the attention of the employer. Ultimately, employers are responsible for acts of work-related harassment. The Supreme Court has said that the goal of human rights law is to identify and eliminate discrimination. Employers control the organization, and are therefore the only ones who can actually reverse the negative effects of harassment and ensure a healthy work environment. So no matter what kind of workplace you own or business you operate, you have a responsibility to make sure your employees do not experience harassment. If harassment does occur, you must show that you did everything you could to prevent it, or to alleviate its effects. (Robichaud v. Treasury Board, 1987) Employers are responsible for harassment by employees of non-employees, such as potential employees, clients and customers. Employers must also take action to address the situation if employees are harassed by non-employees such as clients, customers, couriers, etc. harass employees. 1.2 IDENTIFYING HARASSMENT Unwelcome behaviour that demeans, humiliates, or embarrasses Harassment is any behaviour that demeans, humiliates or embarrasses a person, and that a reasonable person should have known would be unwelcome. It includes actions (e.g. touching, pushing), comments (e.g. jokes, name-calling), or displays (e.g. posters, cartoons). The Canadian Human Rights Act prohibits harassment related to race, national or ethnic origin, colour, religion, age, sex, marital status, family status, disability, pardoned conviction, or sexual orientation. Disrespectful behaviour, commonly known as "personal" harassment is not covered by human rights legislation. While it also involves unwelcome behaviour that demeans or embarrasses an employee, the behaviour is not based on one of the prohibited grounds named above. Nevertheless, some employers choose to include personal harassment in their anti-harassment policies. Unwanted sexual behaviour Sexual harassment includes offensive or humiliating behaviour that is related to a person's sex, as well as behaviour of a sexual nature that creates an intimidating, unwelcome, hostile, or offensive work environment, or that could reasonably be thought to put sexual conditions on a person's job or employment opportunities. A few examples are: questions and discussions about a person's sexual life; touching a person in a sexual way; commenting on someone's sexual attractiveness or sexual unattractiveness; persisting in asking for a date after having been refused; telling a woman she belongs at home or is not suited for a particular job; eyeing someone in a suggestive way; displaying cartoons or posters of a sexual nature; writing sexually suggestive letters or notes. Sexual harassment is frequently more about power than about sex. It occurs in situations where there is unequal power between the people involved, and is an attempt by one person to assert power over the other. Harassment can also occur when an individual is in a vulnerable position because he or she is in the minority - the only woman, member of a visible minority, aboriginal person or person with a disability - and is, for example, ostracized by colleagues. Abuse of authority Abuse of authority occurs when a person uses authority unreasonably to interfere with an employee or the employee's job. It includes humiliation, intimidation, threats, and coercion. It does not include normal managerial activities, such as counselling, performance appraisals, and discipline, as long as these are not done in a discriminatory manner. Abuse of authority unrelated to a prohibited ground is not covered by human rights legislation. Nonetheless, some employers state in their anti-harassment policies that abuse of authority will not be tolerated. 1.3 AN ANTI-HARASSMENT POLICY -- WHAT'S IN IT FOR ME? Employees may be afraid to complain Often, employers, managers, and employees believe that harassment is not a problem in their particular workplace. They may especially believe this if there are no complaints. However, a complaint-free workplace is not a guarantee of a problem-free workplace. Employees may be afraid to speak up. They and their work may be suffering in all kinds of ways without employers, managers, or colleagues being aware of it. People who are being harassed may fear embarrassment, retaliation, job loss, or loss of acceptance by colleagues if they complain. They may also fear not being believed, especially where differences in level of authority, age, sex, race, religion and the like exist. Harassment costs money Harassment has a direct negative impact on employees and on a company's profitability. Employees who are being harassed can suffer from headaches, ulcers, tension, depression, insomnia, and other illnesses that either keep them away from work or reduce their well-being and productivity. An employee who is being harassed may resign, which penalizes that individual financially, and means that a new employee must be trained. If harassment is an ongoing problem, it may affect morale and lead to a decrease in productivity and high staff turnover. Case Study: the costs of harassment A woman in a trade was paid more than $100,000 by her employer as compensation for harassment and discrimination at work. She constantly faced sexist remarks, such as "this is a man's job" and "women should be home doing dishes and washing," as well as questions about her bathroom habits. As a result of the ensuing stress, she was forced to take extensive sick leave. Her sick leave resulted in a poor performance appraisal, and she was eventually fired. Other female employees had also been subjected to sexist comments, and said their supervisors and male peers were rude or uncooperative. Some of them said their male colleagues had lied to them about job-related information. The company had no anti-harassment policy and no staff trained to deal with harassment. As a result of the Canadian Human Rights Commission's investigation and the settlement of the complaint, the company agreed to financial compensation for the complainant. It also agreed to develop an anti-harassment policy, set up an internal redress procedure, train staff to investigate complaints, create some positions whose mandate was to eliminate discrimination, and provide harassment awareness seminars for all its employees. |
Education increases awareness and minimizes problems
Having an anti-harassment policy in your workplace, and educating all managers and employees about harassment, is an essential step in eliminating harassment. Greater awareness will help people recognize when their own behaviour may be harassing. Having a policy in place gives employees an avenue of communication if they have concerns regarding harassment in the workplace. By letting people know that harassment will not be tolerated, a policy can improve morale, and minimize the lost efficiency and lost profits caused by stress-related illness. Most employers know that a happy work environment is necessary for a productive, efficient workplace. Many are now paying more attention to health, safety, and general worker satisfaction through programs that encourage exercise, allow time to attend to family responsibilities, and help employees manage stress. Freeing the workplace from harassment is also essential for efficiency and effectiveness. Employers are legally responsible Moreover, employers can be held legally responsible for harassment in their workplaces. Courts may impose penalties on the employer and the manager, even if neither of them was involved in the harassment. An organization that does nothing to prevent harassment, therefore, may well find itself facing serious financial and legal consequences. To prevent and deal with harassment, and to limit the remedies assessed against it, an organization can: educate employees and management about harassment; and have an effective policy in place which includes a requirement to address any instances of harassment promptly, discreetly and properly.
Case Study: employer's responsibility The first woman promoted as supervisor of a team of cleaners with a federal department was sexually harassed by her foreman on several occasions. There were numerous conversations of a sexual nature and several physical encounters including attempted sexual intercourse. Most of these incidents took place while the woman was still in her probationary period. She testified at the hearing that she was afraid and intimidated. She continually told the foreman to stop, and that his advances were unwelcome. But the foreman used his authority and threatened repercussions to persuade her to agree to unwelcome acts. The Department was held responsible for the foreman's acts. The Supreme Court of Canada decided that an employer is responsible for providing a work environment free of harassment. It added that "only an employer can remedy undesirable effects [of discrimination]; only an employer can provide the most important remedy--a healthy work environment." Employers are therefore responsible for all acts of their employees that are Ain some way related or associated with employment. The Court also pointed out that although employers will be liable for harassment, whether they knew of it or not, the penalties imposed will be less, or non-existent, for an employer that "responds quickly and effectively to a complaint...to remedy and prevent recurrence." Robichaud v. Treasury Board (Department of National Defence) |
Anti-harassment policies improve productivity and profits
Effective anti-harassment policies do not cost much to develop or to maintain. They cost much less than sick leave, poor performance, employee turnover, human rights complaints, constructive dismissal suits, workers' compensation, legal costs, and compensation for lost wages, pain and suffering. And most of us accept that word of mouth is the best advertising. Negative publicity harms an organization. Employers whose workers are happy and confident will not only keep those workers longer; they will also attract more and better workers when they do need to hire. This, in turn, means better service to clients and customers, and definite advantages in the marketplace. PART 2: WRITING A POLICY 2.1 MODEL POLICIES -- HOW DO THEY WORK? Changing behaviour and attitudes is the most effective way of ensuring a safe and harassment-free workplace for everyone. Having a clear, well-known anti-harassment policy in your workplace is one way of promoting a harassment-free environment. If harassment is alleged, the policy will let everyone involved know what their rights and responsibilities are. The harassment can then be dealt with promptly, efficiently, and with the least disruption and cost possible. It is important for employers to act quickly to resolve complaints. Harassment does not go away by itself; it is more likely to get worse and become more difficult to address as time goes on. Having an anti-harassment policy does not mean that there will be no harassment complaints. However, having an effective policy and procedures, coupled with anti-harassment training for all staff, will help to ensure that individuals who are being harassed come forward and the problem is addressed quickly and effectively. For employees, the faster the harassment is stopped the better. Quick action also benefits employers. The courts have held that an employer who responds quickly and effectively to a complaint by instituting a scheme to remedy and prevent reoccurrence will not be liable to the same extent, if at all, as an employer who fails to adopt such steps. Model policies are guidelines only These model policies can help you develop your own anti-harassment policies. Change them as necessary to fit your workplace and your employees. But do be aware that there are certain crucial responses to harassment that courts will look for as evidence of "due diligence"; in other words, proof that you did everything you could to prevent harassing situations. You must treat all allegations of harassment seriously, and investigate them promptly. You must resolve instances of harassment as soon as you become aware of them, even if there has been no complaint. You must do your best to mitigate the effects of harassment, for example, by restoring sick leave used because of the harassment and ensuring the victim gets an apology from the harasser and perhaps from the organization. You must take action to prevent a reoccurrence of the harassment by instituting human rights training for the harasser and, perhaps, for all staff, and making sure all employees have, and understand, the policy.
It is important to make a commitment to these steps in your policy. | Case study: due diligence, poisoned work environment A female employee complained that her supervisor used an explicit statue to make jokes of a sexual nature. She said she complained to management about this and about posters of nude women at a postal station where she worked. Instead of removing the material, the organization transferred her to another station that also had nude posters. The tribunal ruled that sexual harassment "includes any unwelcome conduct of a sexual nature that detrimentally affects a person in the work environment...The presence of posters that workers use as the basis of comments and jokes of a sexual nature about the size of their breasts, their figures, etc., definitely causes embarrassment and lowers the status of women." The statue and posters were "used as the basis for humiliating comments about the complainant which were intended to belittle her" in comparison with her male co-workers, and "poisoned the work environment." The organization had not consented to the harassment, but it did nothing to stop it, and "did not exercise diligence to avoid the effect after having been informed" of the harassment. The organization was held responsible, and the complainant received $5,700 in damages. (Pond v. Canada Post Corporation) Note: The act of displaying a sexually explicit poster constitutes harassment if it causes an individual to feel demeaned or embarrassed. It is not necessary for the poster to be used as the basis for comments and jokes as it was in this case. |
Who can use these policies?
These model policies are directed at federally regulated employers, whether in the public or the private sector, but may be useful to any employer. Treasury Board policies Federal government departments and agencies covered by Treasury Board policies can also look at the Policy on the Prevention and Resolution of Harassment in the Workplace. It underlines every employee's right to fair treatment in the workplace and to a harassment-free environment. The policy covers not only harassment related to the grounds prohibited under the Canadian Human Rights Act but also harassment of a general nature including "rude, degrading or offensive remarks or e-mails, threats or intimidation." It makes managers responsible for ending harassment and has some very specific monitoring and reporting requirements. It calls for every effort to be made to resolve the situation. If early resolution is not successful or is not appropriate, an employee can file a complaint. Mediation must be offered before an investigation is started. See the policy itself for more information. 2.2 HOW TO WRITE AN ANTI-HARASSMENT POLICY In order for an anti-harassment policy to work, it must be: - unequivocally supported by management;
- clear;
- fair;
- known to everyone, at all levels of the organization; and
- applied to everyone, at all levels of the organization.
Using these points as guiding principles, an employer can look at concrete ways of achieving the ultimate goal of a healthy, harassment-free workplace. No matter the size of your organization, the principles are the same. Most of what follows will apply to both large and small companies. But small companies may not have all the resources needed to develop policies with as much detail as is suggested here. See the suggestions beginning with part 5 for adapting elements of this policy for the purposes of smaller organizations. 2.3 THREE STEPS TO A HEALTHY WORKPLACE First, an organization needs a climate where employees feel confident that harassment will not be tolerated, and where they feel comfortable speaking out about harassing situations. Second, all members of the organization must know what the consequences of harassment are, and what to do if they become aware of harassment. Third, continual training and education are essential to maintaining an atmosphere of mutual respect. A. Create the climate By changing workplace culture Employees do not always report instances of harassment because they are afraid they will not be taken seriously, will suffer retaliation, or will be ostracized by co-workers or managers. Employers can start to change workplace culture by talking about harassment, distributing posters and pamphlets on the issue and involving employees in the preparation of the anti-harassment policy. By writing a policy Develop a policy that clearly says that management will not tolerate any harassing situations, and make sure it is enforced. By making a policy statement The first paragraph of any anti-harassment policy should be an unambiguous statement that the employer will not tolerate any harassing behaviour. Mentioning the laws that prohibit harassment will also help employees understand that the issue is serious. By involving employees An important step in creating a healthy climate is to involve employees in developing the anti-harassment policy, if at all possible. This achieves several things: It is a good way to introduce the topic and to start educating people about what harassment is, why it is unacceptable, and what they can do about it. It means that people may be less afraid to speak up if they find themselves in, or witnessing, a harassing situation. It gives a strong, clear message that the employer supports the policy and will not tolerate harassment. It gives employees a personal interest in the policy, making them more likely to understand and support it. means that employees will feel their contributions are valued, and it may increase their satisfaction with their workplace.
Show that you mean it Make sure the policy applies to senior management as well as to other employees. When situations arise, apply the policy fairly and according to the rules, no matter who is involved. B. Set up the framework By explaining what harassment is, and giving examples Sometimes employees do not realize that certain behaviour is inappropriate. Giving examples helps everyone know what is okay, and what is not. Some employees will change their behaviour once it is pointed out to them that others are hurt by it. This background can be shared at information sessions, staff meetings, orientation sessions, or by means of memos or e-mail, pay-slip notices, films, posters, brochures, videos or other communication tools. By giving clear direction for handling complaints Give employees and managers clear guidelines for acceptable behaviour, and for resolving problems that do occur; let everyone know what is expected of them and what the consequences of harassing behaviour will be. Even with anti-harassment education, there may be disagreements, misunderstandings, or people who just plain ignore the policy. So the policy needs to set out clear steps for employees to take if they believe they are being harassed. They need to know: - who to talk to;
- procedures involved in resolving a complaint informally or formally;
- exactly what steps to take to initiate a complaint informally or formally;
- how they will be protected; and
- what is expected of them.
Managers and the people responsible for receiving, mediating, or investigating complaints must also know what to do, what kind of decisions they can take, and how to support the employees involved. The person or people accused of harassment must also know what their rights and responsibilities are, and what kind of penalties they may be facing. Everyone must know whether there will be an investigation, who will make decisions, and whether those decisions can be appealed. Employees should also know about the other organizations they can go to immediately or if the internal complaint process doesn't work for them: the Canadian Human Rights Commission, their union, or the police in cases of physical or sexual assault. By clarifying roles People who are acting as anti-harassment counsellors, mediators or investigators should be as free of bias as possible. They should clearly understand their role, and should be able to fulfill it without interference. They should not have to fulfill a second role that may be contrary to the interests of either of the people involved in the complaint. Employees should be fully informed of the role of the investigator, and an investigator should not present him or herself as a counsellor for the employee or suggest that the information being conveyed is confidential. Case study: conflict of interest In a case of racial harassment brought against a federal employer, the tribunal found there was a conflict of interest over the way the employee's internal complaint was handled. The organization's human rights advisor, who listened to the employee's complaint and advised him on how to proceed, later represented it throughout its investigation of the complaints and the subsequent human rights tribunal hearing. "Several of the witnesses that testified on behalf of [the organization]... refer to having counselling sessions with [the human rights advisor] regarding [the] complaints, in preparation for this hearing." For the tribunal, this was a clear case of "conflict and prejudice". (Grover and Canadian Human Rights Commission v. National Research Council) |
C. Maintain the gains
By educating current and prospective employees Workshops, orientation sessions, films, brochures, posters, e-mail, memos and other tools can be used to educate current employees. New employees, or people wishing to be hired, should also know what their rights and responsibilities are in a harassment-free workplace. This education should not be a one-time occurrence. Everyone will benefit from occasionally repeated information sessions or reminders about what the policy is and what it means. By training managers Managers, by their example, are largely responsible for creating workplace culture. If managers at all levels show respect for all employees, show that they do not tolerate harassing behaviour, and make it clear that they support the anti-harassment policy, problem behaviour will be much less likely to take place. The more knowledgeable managers are about how to identify harassment and how to handle it, the more easily problems will be resolved, and the smoother the workplace will function. By training anti-harassment counsellors, mediators, and investigators An anti-harassment policy should identify someone who is responsible for receiving informal and formal complaints, and someone who will investigate formal ones. These individuals may be specially trained employees, or they may be on contract, or assigned to these roles through some other arrangement, such as through an employer organization. They must have the appropriate training to ensure they are capable of carrying out their roles. Ultimately, their handling of any complaints will contribute to the policy's success or failure. By monitoring and reviewing the policy Especially when a policy is new, it may need fine tuning to really succeed. Periodic review of the policy, including comments from staff or from employees who have been involved in harassment complaints in various capacities, will help you discover where the policy works well, and where it is inadequate. Workplace surveys, focus groups, union feedback, and discussion at management meetings are useful tools for gathering information. Being aware of high turnover, and conducting exit interviews with employees who are leaving the organization for any reason, can also contribute pertinent information. Over time, you will develop a policy that truly meets the needs of your unique workplace. 2.4 EDUCATING EMPLOYEES Education of employees is crucial to a successful policy. This education can be done by outside consultants, by trained anti-harassment counsellors, or by human resources personnel trained in human rights and harassment issues, for example. Without anti-harassment education, employees may not know what harassment is, or may not know how to respond if they believe they are being harassed. Many problems can be stopped before they start simply by letting people know what behaviour is inappropriate, or how to deal with such behaviour. All new employees and managers should attend education sessions of some kind. New employees could have anti-harassment education as part of their job training. Company-wide refresher courses from year to year will make sure no one misses or forgets this important information. It is also essential that every employee have a copy of the policy, and understand it. A good distribution system, along with the education sessions, can achieve this goal. Some employers ask their employees to sign a statement that they have read and understand the harassment policy. You may wish to consider having your employees do this at the end of your anti-harassment training sessions to reinforce the fact that your organization takes the problem of harassment seriously. 2.5 WHAT SHOULD GO IN THE POLICY? The following is an outline of the elements of successful anti-harassment policies. For more details, see Part 4: Checklist for an Anti-Harassment Policy: Medium and Large Organizations, and Part 7: Checklist for an Anti-Harassment Policy: Small Organizations. Policy statement Your employees should know that harassment is not tolerated in their workplace, and that you will take immediate steps to end any instances of harassment which you become aware. Giving them a clear statement of this sort will help them feel confident if they need to complain about possible harassment, and it may well cut down on harassment in the first place by sending the message that it is unacceptable. The law Your employees should know what harassment is, and that it is against the law. Employees' and managers' rights and responsibilities All persons in your workplace need to know what is expected of them. A section of your policy should spell out their right to be free of harassment, responsibility to treat others with respect, and responsibility (if they have a management role) to stop harassment as soon as they become aware of it. Direct action Sometimes employees will be able to stop harassment just by speaking up or by writing the harasser. You can encourage them to do so. Keep in mind, however, that it may not always be possible for someone to communicate directly about the harassment with the person who is harassing them. Differences in power (age, sex, religion, race, and so on) or status (such as a subordinate job) may make this impossible. Even if a person does speak up, the harassment may not always stop. You will need to have other avenues for dealing with the situation. Informal procedures Informal procedures do not involve an investigation, a report, or an official decision. An employee who complains informally is enlisting the help of an anti-harassment counsellor, a manager, a human resources person, or someone else appointed and trained to act as an intervener. This person can give advice as to how to proceed, may help the employee write a letter or initiate a conversation, or may be able to approach the person accused of harassment to let them know their behaviour is causing discomfort or not appropriate. Mediation Mediation is a voluntary process whereby the people involved in a complaint meet with a neutral third party (mediator) who is trained to help them agree to a solution with which both are comfortable. Mediation can work well when the people feel that they have equal power. It is not appropriate when one of the people feels at a disadvantage or feels vulnerable (perhaps because of a difference in age, sex, religion, race, level of authority, or other characteristic). It is also not appropriate when there is a case of severe harassment for which strong corrective action such as termination is likely to be required. If the circumstances warrant it, mediation can come before a formal investigation. At the request of one of the parties and with the consent of the other, the appropriate person in your organization can appoint a qualified mediator, from within the organization or from outside it, who is acceptable to both the complainant and the alleged harasser. It is crucial that this person have mediation training. It is also crucial not to force mediation on anyone. Either party has the right to refuse mediation. Each should also have the right to be accompanied and assisted by someone of their choosing during mediation. Formal complaints Informal procedures and mediation are not necessary first steps before filing a complaint. In any case, they may not succeed or may not be appropriate. Your employees then need to know how to file a formal complaint. A formal process includes filing the complaint, investigating, reporting the findings, decision-making, providing remedies for the victim, and corrective action for the harasser. It should include an appeal process. Employees need to be informed about each of these steps, how long each one will take, and what they can expect at the end of the process. Employees should also know exactly what the consequences of harassment are before they find themselves involved in a complaint. Any possible redress, from an apology to financial compensation, to making up for a lost employment opportunity, should be spelled out in the policy. Likewise, possible corrective action for the harasser, from a written reprimand to leave without pay, to demotion, to firing, should all be clearly stated in the policy. Please see the model policy for specific examples of remedies and corrective action, under the headings Remedies for the victim and Corrective action for harassers. Other options Anti-harassment counsellors should be able to tell employees which other organizations may be able to help with their complaint. The policy, too, should give this information. For example, unions may have grievance procedures that can deal with harassment. An employee who is not satisfied with the result of a harassment complaint can consult the Canadian Human Rights Commission. If the harassment involves physical or sexual assault, which are criminal offences, the police are the appropriate avenue. Anti-harassment counsellors Counsellors or anyone selected to fill a role of this type should have appropriate anti-harassment training, and should know the company's internal policy as well as what other options are available for dealing with the complaint, such as a union grievance or human rights complaint. They can make sure the employee understands the available options, and if requested, can help the employee to write a letter or to speak to the harasser. An anti-harassment counsellor can also inform the appropriate person in your organization that someone wants to try mediation. If other methods of dealing with the situation are inappropriate or unsuccessful, the counsellor may help an employee file a formal complaint. An anti-harassment counsellor should also be available to someone who is accused of harassment, to make sure that person understands the company policy, the possible penalties, and the options available, such as mediation, or how the union or the human rights commission may be able to help. The same counsellor should not provide advice to both the person complaining of harassment and the person accused of harassment. Counsellors should be named in the policy, and their duties and limits on their involvement clearly set out. It is desirable to have anti-harassment counsellors representing a cross-section of the workforce. Their qualifications should include the following: - being discreet, respected, and trusted by employees;
- understanding the need for confidentiality in allegations of harassment; and
- willing to be trained to advise employees.
Having previous experience with harassment complaints or human rights work is an asset. Certain safeguards will help guard against conflict of interest: - counsellors are advisors, not advocates;
- counsellors will not conduct the mediation or investigation; and
- counsellors will not represent the organization in any formal proceeding or human rights complaint after having advised either party in the complaint.
Investigators Investigators, like counsellors and mediators, must be appropriately trained. These people may be chosen from inside the organization, if you have the resources to train them and to allow them time away from other duties. Or you may hire an outside consultant who is an expert in this field. It is important to check a consultant's training, experience, and credentials before hiring them for this sensitive work. The investigator should interview the complainant, the alleged harasser, and any witnesses. Your policy should remind all employees that they have a responsibility to cooperate in an investigation. The investigator should write a report and submit it to the person in your organization who is responsible for the management of the complaint. The report should state who was interviewed, what questions they were asked, what conclusions the investigator came to about the harassment, and what possible compensation, penalties, or other action may be appropriate in the particular case. Both parties should be given the opportunity to provide comments on the investigation report before it is finalized. You may want to specify that the investigator must either submit a written report within a specific time, such as three weeks, or establish a new deadline and provide reasons why a longer period of time is required for the investigation. Decision An official decision must follow the investigation report. The decision should include a summary of the investigator's findings, and should detail what compensation or penalties will be assessed, and what other action, if any, will be taken. It is important that harassment victims are assured that disciplinary action, when appropriate, has been taken against the harasser. This may be achieved by providing the harassed victim precise information as to the disciplinary action taken. Another approach, preferred by some employers, is to inform the victim of the type of sanction (written reprimand, fine, suspension, etc.), but not the details. Some employers also publish anonymous descriptions of human rights cases and the corrective action taken by the organization. This can help to emphasize to staff that the employer takes the issue of harassment seriously and that there are consequences to inappropriate behaviour. If this is done, it is important that such case studies do not provide information which would identify the parties. Time limits Your employees will need to know how soon the investigation will begin, how long it will take and when they will be informed of the results. Shorter time lines are better; the sooner the harassment is dealt with, the less damage will be done and the sooner people can move on from the experience. Some policies specify that the investigation must begin with a specific period ranging from ten days to one month. It may also be appropriate to set a time limit of two to three weeks for completion of the investigation, and of one more week for any decisions regarding remedies and corrective action. Appeals You will need to have a provision for appeals, so that employees who are unhappy with the results of a formal complaint can put forward their reasons and have them looked at. Retaliation You should make it clear that retaliation will not be permitted and will be considered a serious disciplinary breach, and penalized at least as severely as the initial harassment. All the good work done by an anti-harassment policy will be undone if people are allowed to retaliate against someone who has complained of harassment or who has cooperated in an investigation. Employees will feel vulnerable to renewed harassment, to losing their job, or to a number of other negative consequences, and may consequently be afraid to complain. Unsubstantiated complaints These are complaints in which the evidence indicates that harassment did not occur or that there was insufficient evidence to prove that harassment occurred. An unsubstantiated complaint that was made in good faith should not draw any negative consequences to the complainant. When the complaint of harassment is not proven, all records of the complaint should be removed from the personnel file of the person against whom the complaint was made. Complaints made in bad faith Complaints made in bad faith are those where the person complaining knows that the complaint is false. These types of complaints are very rare. Still they may happen, and your policy can set out the procedure for dealing with these complaints. A complaint made in bad faith should have remedies and penalties attached, equivalent to those that would result from harassment. For specific examples, see the model policy for medium and large organizations under the headings Complaints made in bad faith, Remedies for the victim and Corrective action for harassers. Monitoring the policy You should explain briefly how you plan to monitor the policy to ensure that it is working effectively. Let employees know how to give their feedback on the policy, and let them know how often you will be reviewing it. Semi-annually may be best when the policy is new. In any case, it is probably a good idea to review the policy every year to deal with any changes in corporate structure or other changes that could have an impact on the policy. As part of the review of the policy you should ensure that: - the policy was understood, trusted and used by employees;
- complaints were dealt with quickly, thoroughly and effectively; and
- there was no retaliation against individuals who filed a complaint or cooperated in the investigation of a complaint.
Action Plan The preparation of an action plan is an effective way of ensuring that concrete action is taken in a timely manner. The plan should include the following elements: development of an anti-harassment policy and procedures; the selection process for harassment counsellors, mediators and investigators. If any or all of these roles are to be assigned to staff, include a training plan; preparation of anti-harassment training material and a schedule for provision of training to all staff. It should include information on refresher courses and training for new staff; how management will communicate its commitment to providing a harassment-free working environment; and system for monitoring the effectiveness of the anti-harassment policy, procedures and training programs (both for staff and advisors, mediators and investigators).
The action plan should identify the area or individual responsible for each element and dates for completion of the various tasks. |
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