1. Taking Appropriate Measures
AMCHAM
Investigation and
Taking Appropriate Measures

2. Z 2 q d s Y E Considerations o Your Initial Thoughts law say?
When a company receives a report of workplace harassment, various employer obligations and considerations might come to mind…
What does the
policy require? q
law say? d
How should we
investigate? What factors
should we consider? s
What about the
Confidentiality obligations? Y
Employee protection measures? Z
What about
secondary harm? 2
What comes after
the investigation? E
There seems to be
so many risks! o
Considerations

3. 3 p 5 Y D h a Investigation Roadmap # # g 6. Monitoring
Revisiting victims and other employees to ensure workplace harassment does not reoccur
Risks cannot be avoided but can be managed
An extra week might make all the difference
Prepare, Prepare, Record
5. Secondary Harm
Implement plan to monitor for and prevent secondary harm required
2. Preparation for Investigation
Employee affiliations, hierarchy, department size, interview order, interview scope potential business disruptions, consents, maintaining confidentiality, monitoring for secondary harm # g
4. Analysis / Disciplinary Actions
Analysis of findings, determining the credibility of statements, determining the appropriate remedial actions, assessing the impact of the actions a
1. Initial Report
The Company receives a report through an official helpline or becomes aware of potential incidents through conversation h p
3. Investigation/Implementation
The “Easy Part” of carrying out the prepared investigation, measures to maintain confidentiality, execution of employee protection measures

4. Investigation and appropriate measures begin with the first response
Investigation Process – The Report
Investigation and appropriate measures begin with the first response 01 01 01
1. Initial Report
Analyze not only for content but for circumstances leading up to the report.
1. Before Responding…
Depending on how the incident was reported, the Company’s response and the timing thereof would change
1. The First Response
The first response should not be considered as a formality.
Emotion management

5. Investigation Process – The Preparation
PRINCIPLE: Reporter/victim first, wrongdoer last.
Always consider employee perception and tone/emotion for interview order
Visualize how you would be able to get to your desired or expected answers
IMPACT: Communication with victim or employees in general, interview flow, investigation speed, scope, investigation procedure
IMPACT: Interviewee selection, assessment of credibility, order of interviewees (to address potential confidentiality concerns or tip offs), motives
Measures
against
Wrongdoer
Employee
Loyalty
Administrative
Leave
Order of
Interviews
Protective
Measures
Employee
Wishes
Size
IMPACT: Venue, number of interviewees, justification for investigation, degree of achievable confidentiality/ employee protection (affecting communication with victim/reporter)
Begin early on potential measures
IMPACT: Would impact interview structure, documents, questions
Employee protection measures are not limited to visible measures such as paid leave or reassignments (including protection from third-party clients)
Recognize that 100% protection is generally unachievable
Administrative leave is not just a procedural necessity.
IMPACT: Administrative leave can be used as a tactical element especially with regard to timing, communication, and show-of-force.

6. Investigation Process – The Report
6. Monitoring
Even if ideal result not obtained (e.g., termination, mutual separation, reassignment), Company should monitor regularly by holding selective meetings with interviewees or the victim/report for additional harassment or evidence of secondary harm. 03 05 06
3. Investigation
Additional issue would be personal information (forensics, if necessary)
4. Analysis / Standard
Someone in a superior position at the workplace
Uses the superior position
To engage in acts that go “beyond the appropriate scope of work”
And causes physical/mental suffering that deteriorates the workplace environment
Intent is not necessary
Examples: Physical violence, verbal violence, humiliating errands (unrelated to work), exclusion, excessive workload, withholding of equipment, forcing smoking attendance, rumors, assigning miniscule work
Unhappy instructions != workplace harassment
5. Secondary Harm
Regular, casual checkup on secondary harm to victim/report is required
Initiate investigation if reasonable suspicion of secondary harm
Company should accommodate for special paid leave request, work volume reduction, counseling, etc. and document the efforts to manage risk.
Stress related to workplace harassment is occupational injury

7. Thank you