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Complaints from External Agencies

External complaint procedures

An employee who feels he or she is the victim of harassment can file a complaint with an external agency, such as the EEOC. State agencies, such as the California Department of Fair Employment and Housing (DFEH), the Connecticut Commission on Human Rights and Opportunities (CHRO), and the Maine Human Rights Commission (MHRC) also accept and process harassment complaints. In many cases, an employee will file a complaint with an external agency because he or she cannot find a resolution within the company. Note, however, that it is possible an employee will file a complaint with an external agency before attempting to find an internal resolution.

As a manager, the most important thing to remember is that you should report any external complaints that you become aware of to HR immediately. Although you will not likely have the leading role in dealing with an external complaint, the following few pages are intended to help inform you about how an agency's complaint resolution process typically goes. For purposes of this explanation, we will assume the external complaint comes from the EEOC; the process followed by a state agency will likely be similar.

When an employee files a complaint with the EEOC, the agency will open an investigation of the charge. The first step usually involves inviting the employee-complainant and the company representative to sit down together with an EEOC mediator to attempt to resolve the issue. If the mediation is unsuccessful, the EEOC will continue its investigation. The next stage typically involves the EEOC's requesting further information from the complainant and the employer, interviewing people with knowledge of the situation, and reviewing relevant documents.

The EEOC's goal at this point is to determine whether it believes harassment has occurred. Once the EEOC completes its investigation, there may be two outcomes:

1. it decides not to pursue the matter further
2. it concludes that harassment has occurred

The EEOC's decision not to pursue the matter on behalf of the complainant is not a conclusive determination that discrimination or harassment has not occurred. Instead, the EEOC will issue a "right to sue" letter, which will allow the complainant to file an independent lawsuit if he or she so chooses. A complainant cannot file an independent lawsuit based on federal discrimination law without first obtaining a "right to sue" letter from the EEOC. If, on the other hand, the EEOC concludes that discrimination or harassment has occurred, it will issue a "letter of determination" and begin the process of conciliation.

During conciliation, the EEOC will work with the complainant and the employer to negotiate a remedy for the discrimination or harassment. If conciliation is not successful, the EEOC may file a lawsuit on behalf of the complainant, or it may issue a "right to sue" letter so that the complainant can pursue an independent lawsuit if he or she so chooses.

During an EEOC investigation, HR may request that you respond to questions, participate in interviews, and produce any documents you may have that relate to the complaint. You may also be asked to participate in the mediation or conciliation discussions. Often, the company's legal counsel will be involved in preparing the company's response to the EEOC and will represent the company at mediation and conciliation meetings.

It is important always to work with HR during this process and avoid contact with the complainant or EEOC representatives without the knowledge of HR and the company's counsel. At any time during the EEOC's investigation or conciliation process, the complainant and employer may agree on a settlement to resolve the matter, which would close the EEOC's case. Remember that an employee's protection against retaliation extends to the external complaint process, even if the matter is ultimately resolved in the company's favor. As a manager, you must be sure not to engage in retaliation and report any retaliatory actions you may observe to HR immediately.

Companies must be open to receiving and addressing harassment complaints. Therefore, managers must avoid any form of retaliation that could deter employees from reporting harassment. The prohibition against retaliation extends to complaints filed with external agencies, as well. If you become aware of an external complaint, bring it to the attention of HR immediately.

If you have questions about anything you've covered in this course, please contact your HR representative.