DLMS 6 - Employee Relations

DLMS 6-300: Policy & Procedures for Preventing & Eliminating Harassing Conduct in the Workplace

Table of Contents

300 Policy & Procedures for Preventing & Eliminating Harassing Conduct in the Workplace

301 Purpose

  1. The Department of Labor (Department) is committed to serving as a model employer for the American worker by addressing allegations of harassment as early and quickly as possible and to promote accountability at every level. On an annual basis, the Secretary of Labor issues a Policy Statement on Harassing Conduct that articulates the Department’s commitment, which is sent to all Departmental employees and posted on the Department’s internal website. The Secretary’s annual Policy Statement is herein incorporated into this DLMS Chapter (the “Policy”), and the procedures outlined below serve to ensure that the principles expressed in the Policy are effectively implemented.
  2. The Policy and procedures in this DLMS Chapter are intended to create long-term organizational change and to promote dignity and respect for our colleagues at the Department. In order to build a workplace free from harassment, we must create a culture that encourages all Department personnel, including management, DOL staff at all levels, non-career appointees, and contract staff employees, to report when they are witness to or made aware of discriminatory, biased, or harassing conduct. We will not succeed in our efforts to eliminate harassment if we do not take responsibility for holding accountable harassing behavior, wherever we see it and whoever engages in this conduct. It is also critical that we show support to our colleagues who have experienced or are experiencing harassing behavior. All Department personnel, in addition to refraining from engaging in harassing conduct, must also be comfortable speaking out and reporting harassing conduct. They must also have the assurance that complaints will be promptly and effectively assessed with sensitivity and neutrality, and with a commitment to upholding privacy to the greatest extent possible and protecting the rights of all involved, including the right to be free of retaliation for reporting or otherwise assisting in an inquiry into harassing conduct.
  3. When harassment occurs, the Department faces potential intangible consequences, such as poor morale and performance, lost productivity, greater levels of stress, employee turnover, lack of respect for management, and reputational damage.  The Department also faces potential tangible consequences, such as monetary and other relief awarded in Equal Employment Opportunity (EEO) cases or lawsuits. The Department of Labor must ensure that it is taking all necessary steps to prevent all forms of sexual and non-sexual harassing conduct, regardless of whether the conduct violates the law. The goal is to take prompt and appropriate corrective action, including proportionate disciplinary action, in order to address harassing conduct before it becomes “severe or pervasive.” This is the Department’s long-standing policy on harassment in light of the Supreme Court’s decisions in Faragher v. Boca Raton, 524 U.S. 775 (1998), and Burlington Indus., Inc. v. Ellerth, 524 U.S. 742 (1998). Once the Department becomes aware of alleged harassment, the Agency is responsible for reviewing it.  To that end, any Departmental official who receives a complaint of harassment and fails to report it can be subject to Agency action.

302 The Definition of Harassing Conduct

  1. For the purposes of the Policy and procedures, harassing conduct is defined as any unwelcome verbal, written, or physical conduct that is based on race (including race-related characteristics, which may include an individual’s grooming and hair), color, ancestry (including ancestry-related characteristics, which may include an individual’s dress), national origin (including ethnicity, accent, and use of a language other than English), religion or religious creed (including reasonable accommodation of religious beliefs, observances, or practices), physical or mental disability (including reasonable accommodation of physical or mental disability), medical condition, genetic information, sex (including pregnancy, childbirth, lactation, abortion, and related medical conditions), sexual orientation, gender identity, transgender status, gender expression, intersex traits, sex stereotyping, sex characteristics, age (40 and up), parental status, any other prohibited factor, and/or retaliation for engaging in protected Equal Employment Opportunity (EEO) activity,(1) when:
    1. The behavior can reasonably be considered to adversely affect the work environment (that is, potentially giving rise to a “hostile work environment”); or
    2. A tangible employment decision affecting the employee is based upon the employee's acceptance or rejection of such conduct (“quid pro quo harassment”).(2)
  2. Explanation of Key Terms 
    1. This section is intended to provide “plain language” explanations of certain terms used in this document. This section is not intended to change the meanings assigned to them in statutes. Persons seeking further explanation of these terms should consult with the Department’s Director, Civil Rights Center (CRC).
      1. Harassing Conduct Complaint(3) – a report communicated in person, by phone, email, fax, or mail alleging harassing conduct, made by an aggrieved person or alleged victim or by a third party acting on behalf of the aggrieved person raised pursuant to this Policy. 
      2. Aggrieved person or alleged victim – an individual that experiences harassing conduct by a DOL employee, contractor, or customer and the conduct is reported to a Workplace Equality Compliance Office (WECO),(4) the CRC, or other DOL management.
      3. Accused or alleged harasser – a current DOL employee, contractor, or customer who is reported to have engaged in unwelcome verbal or physical conduct based on an aggrieved person or alleged victim's race (including race-related characteristics, which may include an individual’s grooming and hair), color, ancestry (including ancestry-related characteristics, which may include an individual’s dress), national origin (including ethnicity, accent, and use of a language other than English), religion or religious creed (including reasonable accommodation of religious beliefs, observances, or practices), physical or mental disability (including reasonable accommodation of physical or mental disability), medical condition, genetic information, sex (including pregnancy, childbirth, lactation, abortion, and related medical conditions), sexual orientation, gender identity, transgender status, gender expression, intersex traits, sex stereotyping, sex characteristics, age (40 and up), parental status, any other prohibited factor, and/or retaliation for engaging in protected Equal Employment Opportunity (EEO) activity upon which allegations of harassing conduct may be raised under the Harassing Conduct Policy.  The basis of the allegation may stem from actual membership in a protected group, perceived membership in a protected group, or close association with someone of a protected group.
      4. Concluded case – a case in which an inquiry is completed and a determination is made concerning whether an allegation of harassing conduct has been substantiated.
      5. Disposition of case – the status of an inquiry, such as pending, concluded, referred to another office, etc.
      6. Workplace – any location where a DOL employee or contractor engages with fellow employees, contractors, customers, etc., which includes while on official travel or participating in training while on duty, telework, remote work, and non-duty status.  This may also include conduct occurring outside of the official worksite, e.g., an offsite social gathering.  In addition, DOL employees and contractors should note that their behavior applies to online activity, wherein they can be identified as representatives of the Department, discussing the work of the Department, or using Department resources, irrespective of whether online activity occurs during duty or non-duty status.
  3. The Department also prohibits harassment intended to retaliate against employees for opposing discrimination, including harassment; participating in an inquiry alleging unlawful discrimination, including harassment; filing an EEO complaint; filing a complaint under this Policy and procedures; assisting others to oppose discrimination or harassment or file complaints; or for requesting a reasonable accommodation for a physical or mental disability or sincerely held religious belief, observance, or practice.
  4. The Department recognizes that, in order to maintain an effective Policy and procedures for eliminating harassing conduct, any conduct that falls under the descriptions above in 302 (A)(1) or (2) is a violation of, and should be evaluated under, the Policy and procedures. A reasonable inquiry should be made as to whether the conduct at issue is linked to a protected basis (e.g., race, sex, religion, age, disability, etc.). However, if a protected basis is not readily discernable, the complaint should not be summarily dismissed for that reason. Harassing conduct that goes unrestrained, even when protected traits are not an apparent nexus to the conduct, may become so severe or pervasive as to alter the working conditions of a Department employee and violate relevant laws. As otherwise explained in this document, each inquiry will be individually tailored to the circumstances alleged so as to adhere to the intent of this Policy and support the efficient review of allegations of misconduct across the Department.
  5. A non-exhaustive list of behaviors that may be addressed under this Policy and procedures includes:
    1. The use of microaggressions, or verbal and nonverbal insults, comments, or other unwelcome behavior, that may be intentionally or unintentionally offensive, demeaning or degrading.
    2. Using a slur to refer to transgender persons, or asking personal and private questions about a perceived or known transgender person’s genitalia;
    3. Telling racist, sexist, homophobic, transphobic, or xenophobic jokes or stories;
    4. Teasing, name calling, ridiculing, insulting, mocking, mimicking or repeatedly commenting on or making gestures about an individual’s disability, accent, hair, or other protected characteristic;
    5. Using “pet” names or sex-based nicknames or other forms of stereotypes;
    6. Making demeaning, obscene, or lewd comments, slurs, epithets, or suggestions;
    7. Displaying or discussing inappropriate or sexually suggestive or insensitive objects, pictures, images, or cartoons;
    8. Exhibiting bullying, intimidating, or threatening behavior;
    9. Continuing unwelcome behavior (as defined by the Policy and procedures) after an individual has objected;
    10. Displaying belittling caricatures or objects depicting persons of a particular race, national origin, religion, or other protected basis, or other objects with a sordid history based in racism or discrimination, such as the display of Swastikas, nooses, or the Confederate flag;
    11. Leering at or ogling another person;
    12. Stalking or following a colleague, including through the use of social media or off-site;
    13. Improperly disclosing confidential information about another person related to their actual or perceived status in a protected class;
    14. Unwelcome sexual advances or requests for sexual favors; and,
    15. Unwelcome touching.
  6. Harassment arises in a variety of circumstances, including, but not limited to:
    1. A harasser may be the alleged victim’s supervisor, a supervisor or manager not in the supervisory chain, a co-worker, or a non-DOL employee, such as an employee of a contractor or a customer.
    2. Harassment is not limited by race, sex, etc. (e.g., men can sexually harass men, etc.)
    3. Harassment may occur off-site or off-duty, including on official travel, or during a social event.
    4. Harassment may be verbal or physical and/or may also include written communications, such as email and social media postings.
    5. Harassment is “unwelcome” conduct if the victim does not “solicit or incite it” and finds the conduct “undesirable or offensive.”  “Welcome” may not be the same as “voluntary” or “willing,” particularly when an individual feels coerced due to a power imbalance.
    6. A victim of harassment may not necessarily be the intended target of the offending conduct. Anyone who witnessed or is affected by the offensive conduct may be considered a victim for purposes of this Policy and procedures.
    7. An individual does not need to demonstrate economic injury or discharge from employment to be considered a victim under this Policy and procedures. In fact, this Policy and procedures seek to discover and remedy, in particular, “minor” violations so that harassment does not spread or escalate and rise to the level of a legal violation.

303 Policy Against Harassing Conduct

  1. The Department of Labor does not permit harassing conduct by anyone in the workplace. It is the policy of the Department to maintain a work environment free from harassing conduct.
  2. The Department has determined that prevention is the most effective way to limit harassing conduct, and that one method of prevention is to treat such harassing behavior as misconduct, even if it does not rise to the level of actionable harassment under Title VII of the Civil Rights Act of 1964, as amended, or other EEO laws. A hostile work environment claim under Title VII, or other civil rights laws, usually requires showing a pattern of offensive conduct based on race (including race-related characteristics, which may include an individual’s grooming and hair), color, ancestry (including ancestry-related characteristics, which may include an individual’s dress), national origin (including ethnicity, accent, and use of a language other than English), religion or religious creed (including reasonable accommodation of religious beliefs, observances, or practices), physical or mental disability (including reasonable accommodation of physical or mental disability), medical condition, genetic information, sex (including pregnancy, childbirth, lactation, abortion, and related medical conditions), sexual orientation, gender identity, transgender status, gender expression, intersex traits, sex stereotyping, sex characteristics, age (40 and up), parental status, any other prohibited factor, and/or retaliation for engaging in protected Equal Employment Opportunity (EEO) activity. The Department will not wait for such a pattern to emerge under this Policy and procedures. Rather, the Department will endeavor to act before the harassing conduct is so severe or pervasive as to constitute an unlawful hostile work environment. In order to ensure that the Department prevents a pattern of offensive conduct from emerging, all DOL personnel are strongly encouraged to uphold this Policy and procedures and report when they directly or indirectly witness harassing conduct. Additionally, the Department must ensure that the target of the harassment and the bystander reporting or serving as a witness to the behavior are protected from retaliation and further harassing conduct and must take prompt and effective action to hold the harassers accountable.
  3. The Department also prohibits harassment intended to retaliate against employees for opposing discrimination, including harassment; filing an EEO complaint; participating in an investigation under the EEO complaint process alleging unlawful discrimination or in an inquiry under this Policy and procedures; filing a complaint under this Policy and procedures; assisting others to oppose discrimination or file complaints; or for requesting a reasonable accommodation for a physical or mental disability or sincerely held religious belief, observance, or practice.  Complaints involving such retaliatory harassment shall be handled pursuant to this Policy and procedures (and/or may also be raised in the EEO complaint process).
  4. This Policy and procedures supersede any and all other previous policies on harassment at the Department of Labor. This Policy and procedures are separate and apart from any collective bargaining agreement or statutory complaint process covering harassment, including the EEO complaint process enforced by the CRC under the EEOC regulations at 29 C.F.R. 1614, et. seq. Please refer to Chapter 304 of this Policy and procedures for more information on the EEO complaint process.

304 Complaints under this Policy & Procedures Do Not Constitute EEO Complaints

  1. This Policy and procedures are separate and distinct from the EEO complaint process found at 29 C.F.R. 1614, et seq., which is enforced by the CRC. The goal of this Policy and procedures is to take prompt and appropriate corrective action, including proportionate disciplinary action, in order to address harassing conduct before it becomes “severe or pervasive.” A person who has filed a complaint under this Policy and procedures has not filed an EEO complaint with the CRC. A person wishing to file an EEO complaint must contact an EEO counselor of the CRC within 45 calendar days of the most recent incident of harassment and/or allegation of unlawful disparate treatment (suspension, termination, and other discrete personnel decisions). Contact information for EEO Counselors is posted in DOL buildings, on LaborNet, or by accessing the link below. Filing a harassing conduct complaint under this Policy and procedures does not alter or extend the 45-day deadline for timely EEO counselor contact in filing an EEO complaint with the CRC. Failure to contact an EEO counselor or the CRC within 45 calendar days of the most recent incident of harassment or unlawful disparate treatment may result in the dismissal of an EEO complaint.  This information may be found online at: National Office EEO Counseling and Alternative Dispute Resolution (ADR) Staff.
  2. As it pertains to harassment, the EEO complaint process is generally reserved for complaints alleging that workplace conduct amounts to a hostile environment when the conduct is not just unwelcome, but also objectively “severe or pervasive.” Factors to be considered in the EEO complaint process may include:  the frequency of the conduct; the severity of the conduct (whether the conduct was physically threatening or humiliating, or a mere offensive utterance); whether the conduct unreasonably interfered with work performance; the effect on the employee’s psychological well-being; and, whether the alleged harasser was a superior within the organization. Under the EEO complaint process, petty slights, annoyances, and isolated incidents (unless extremely serious) will not rise to the level of a hostile work environment. To be unlawful, the conduct must create a work environment that would be intimidating, hostile, or offensive to a reasonable person.
  3. Aggrieved individuals may file concurrent complaints under this Policy and procedures and the EEO complaint process under EEOC regulations at 29 C.F.R. 1614, et. seq.

305 Procedures and Responsibilities

  1. Procedures Applicable to All Department of Labor Employees.
    1. Each Department of Labor employee must refrain from engaging in harassing conduct and is encouraged to:
      1. Discourage harassing conduct, by:
        1. Diffusing or disrupting the behavior, including:
          1. Changing the subject to one that is more suited for the workplace;
          2. Communicating to the harasser that conduct should stop and/or makes others uncomfortable;
          3. Taking notes on the behavior witnessed, including the date and a reasonably detailed description of what occurred.
        2. Support the alleged victim by:
          1. Speaking directly with the target of harassment and expressing support for the individual, such as “I heard what that person said; are you OK?”
          2. Reassuring a colleague that the harassing conduct is not their fault.
        3. Promptly report the harassing conduct experienced or witnessed, or about which they have credible information, pursuant to this Policy and procedures as well as;
          1. Encouraging other employees to report harassing conduct they experience or witness;
          2. Reassuring employees that they are protected against retaliation or reprisal for reporting harassing conduct.
      2. Become familiar with and uphold the provisions of this Policy and procedures, comply with all requirements of the Policy, and cooperate with any inquiry under this Policy and procedures; 
      3. In the event that the person to whom the alleged harassment is reported fails to take prompt action, and the employee that reported the alleged harassment is aware that prompt action was not taken, escalate the report of the alleged harassment to the applicable WECO, as soon as possible;
      4. When contacted by an agency WECO, or an appointed fact-finder, for a fact-finding inquiry into a complaint filed under this Policy and procedures, or during an inquiry by the CRC into an EEO complaint, maintain hardcopy or digital documents, records, and other files that are potentially relevant to the allegations being considered during the inquiry. In the event that an inquiry results in litigation, employees may be subject to a litigation hold creating a legal duty to preserve any relevant information. Failure to preserve potentially relevant information may subject to the Department to liability, including sanctions, fees, and entry of default judgment, and may result in disciplinary action against the employee; and,
      5. Cooperate fully with any inquiry conducted under this Policy and procedures by participating in an interview, providing a written statement, and/or submitting documentation, among other things, as requested.
  2. Responsibilities of All Department of Labor Supervisors and Managers.
    1. In addition to the responsibilities they are encouraged to take as employees, as set out in A. above, all supervisors and managers shall be responsible for:
      1. Acting promptly and appropriately to prevent harassment and retaliation in the workplace. This includes being able to recognize potentially harassing behavior;
        1. It is critical that supervisors and managers serve as a model and take prompt and appropriate action when they are a witness to harassing conduct;
        2. All management and supervisors must receive appropriate training on a regular basis to ensure they are prepared to effectively respond to allegations of harassing conduct, particularly before egregious misconduct occurs.
      2. Promptly and appropriately recognizing, handling, and reporting any incident of harassing conduct that they witness or is otherwise brought to their attention, pursuant to procedures set forth in Chapter 306 below;
      3. Following up with the appropriate individuals after reporting the concerns to ensure prompt and effective action is taken;
      4. In consultation with the WECO and, in many instances, the Office of Human Resources (OHR) or servicing Human Resources Office (HRO), providing interim relief to alleged victims of harassment pending the outcome of an inquiry to ensure that further misconduct does not occur;
      5. Conducting any fact-finding that may be necessary, at the direction of the WECO, OHR, servicing HRO, and/or other officials, as appropriate;
      6. Using the procedures set forth below and, in consultation with the WECO, OHR, servicing HRO and/or other officials, taking prompt, appropriate, and proportionate corrective or disciplinary action, in accordance with 5 C.F.R. 752 and the Department’s Table of Penalties, up to and including removal, against personnel who have engaged in harassing conduct or who have not carried out their responsibilities under this Policy and procedures;
      7. In consultation with, or at the direction of, the WECO, notifying the alleged victim through regular communication of the status, the completion, and general outcome of the harassing conduct process, consistent with the Privacy Act; and
      8. When contacted by an agency WECO, or appointed fact-finder for a fact-finding inquiry into a complaint filed under this Policy and procedures, or during an investigation by the CRC into an EEO complaint, cooperating fully and maintaining hardcopy or digital documents, records, and other files that are potentially relevant to allegations being considered during the inquiry or inquiry. In the event that an inquiry or investigation results in litigation, the supervisor or manager may be subject to a litigation hold creating a legal duty to preserve any relevant information. Failure to preserve potentially relevant information may subject to the Department to liability, including sanctions, fees, and entry of default judgment, and may result in disciplinary action against the employee for failing to preserve, after review by WECO, OHR, Labor/Management Relations (LMR), and SOL.(5)
  3. Responsibilities of the Office of the Assistant Secretary for Administration and Management (OASAM)
    1. The Director, Civil Rights Center (CRC), shall be responsible for:
      1. Administering a comprehensive, department-wide program to carry out the Department's equal employment opportunity (EEO) policies and implementing the EEO laws that govern the Department, including statutes, executive orders, rules, regulations, and guidelines covering Federal employees and applicants for Federal employment;
      2. Processing informal and formal EEO complaints in accordance with the procedures set forth at 29 C.F.R. 1614, et. seq.;
      3. Advising the Secretary of Labor about overall policy requirements for the equal employment opportunity (EEO) program regarding employees and applicants for employment with DOL;
      4. Recommending changes to programs and procedures designed to eliminate practices that act as barriers to advancing equity in the hiring, development, and advancement of Black, Latino, Indigenous and Native American persons, Asian Americans and Pacific Islanders, and other persons of color, women, members of religious minorities, persons with disabilities, and other historically underserved communities, with the goal of improving the Department's overall EEO Program;
      5. Evaluating the sufficiency of any Departmental program for EEO and reporting to the Secretary and other appropriate officials with recommendations as to any improvements or corrections needed, including remedial and disciplinary action with respect to managerial, supervisory, or other employees who have failed in their responsibilities according to this Policy and procedures;
      6. Disseminating the Harassing Conduct Policy Statement annually to all employees, and distributing this Policy and procedures to all Departmental offices and posting it on the DOL website;
      7. Advising employees of the differences between this Policy and procedures and the EEO complaint process;
      8. Ensuring that employees are informed of this Policy and procedures and the procedures to follow in connection with reporting harassing conduct;
      9. Referring allegations of harassing conduct that are received through the EEO complaint process to the appropriate WECO so that the agency can investigate and otherwise attempt to mitigate any harassment without further delay;
      10. Providing technical assistance and support in updating this Policy and procedures as requested by WECOs and others;
      11. Developing training and technical assistance on this Policy and procedures, including, but not limited to, training for employees, managers and supervisors, employee orientation materials (e.g., handbooks, brochures), and consultation with agencies on their own education and awareness efforts regarding anti-harassment;
      12. Ensuring that the identities of the agency WECOs are prominently displayed in the Department and listed on LaborNet;
      13. Monitoring the overall effectiveness of this Policy and procedures and recommending overall Policy and procedures changes.
    2. The OASAM Regional Administrators, OHR and/or servicing HRO will be responsible for:
      1. Receiving allegations of harassment under this Policy and procedures and promptly notifying the WECO of the agency in which the alleged harasser is employed of the allegations; and
      2. Providing further assistance as requested by agency WECOs.
    3. OHR and/or servicing HRO(6) shall be responsible for:
      1. Consulting and coordinating with WECOs regarding who will conduct an inquiry into allegations of harassment when complicated by other allegations of workplace misconduct;
      2. Advising managers and supervisors, in consultation with WECOs, on providing interim relief to alleged victims of harassment pending the outcome of an inquiry to ensure that further misconduct does not occur;
      3. Serving as liaison with union representatives, on behalf of the WECOs, to facilitate an inquiry and comply with collective bargaining agreements;
      4. Reviewing fact-finding files completed by WECOs and recommending to the supervisor or manager the appropriate corrective action or proportionate disciplinary action, in accordance with 5 C.F.R. 752 and the Department’s Table of Penalties, up to and including removal, ensuring the corrective action or disciplinary action is consistent with prior action taken against other individuals who have engaged in similar misconduct.
  4. Responsibilities of Agency Workplace Equality Compliance Officers (WECOs)(7)
    1. The WECO in or responsible for each Department of Labor agency shall be responsible for:
      1. Advising employees in their agency on this Policy and procedures;
      2. Receiving allegations of harassing conduct under this Policy and procedures: 
        1. Advising each person who makes a complaint under this Policy and procedures that their complaint does not constitute an EEO complaint filed with the CRC. 
        2. Advising each person who makes a complaint under this Policy and procedures of their right to file an EEO complaint with the CRC, and of the requirement that they must contact an EEO counselor or the CRC within 45 calendar days of the most recent incident of harassment to do so. 
        3. Making sure that complaint forms under this Policy and procedures include a bold and conspicuous statement advising each person that a complaint under this Policy and procedures does not constitute an EEO complaint, that they have a right to file an EEO complaint, and that they must contact an EEO counselor within 45 calendar days of the most recent incident of harassment in order to pursue an EEO complaint.
      3. Conducting or facilitating a fair and impartial fact-finding inquiry into allegations of harassing conduct brought under this Policy and procedures. The WECO will have the authority to decide who will conduct an inquiry into allegations of harassment, provided that the person conducting the inquiry has had appropriate training in inquiring into allegations of workplace misconduct. In complex or difficult cases, including cases that raise potential conflict of interest concerns if the agency WECO continues processing, the WECO will draw upon the expertise of OHR, the servicing HRO, the Office of the Solicitor or Regional Solicitor (collectively “SOL”), CRC, and the Office of Inspector General (OIG) as they deem appropriate;
      4. In collaboration with the servicing HRO, when appropriate, advising supervisors and managers on the provision of interim relief to alleged victims of harassing conduct pending the outcome of the inquiry to ensure further misconduct does not occur;
      5. Evaluating the evidence obtained in the inquiry to determine whether it comports with the Policy and procedures in consultation with the servicing HRO and SOL;
      6. Advising supervisors, managers, and other persons who need to know the outcome of the inquiry and making recommendations to resolve those allegations under this Policy and procedures;
      7. Developing training and technical assistance on this Policy and procedures, including, but not limited to, training modules for managers and supervisors within the client agency(ies) serviced by the WECO;
      8. Providing technical assistance and support to managers and supervisors within the client agency(ies) serviced by the WECO to assure compliance with this Policy and procedures;
      9. Interfacing regularly with the CRC regarding overall policy matters pertaining to anti-harassment, such as training, outreach, and reports;
      10. Monitoring, in consultation with the CRC, the effectiveness of this Policy and procedures, including maintaining information on the number of allegations of harassment, the bases for the allegations, and the actions taken, including all forms of discipline and relief.
  5. Responsibilities of the Office of the Solicitor (SOL) and Counsel to the Inspector General (OIG).
    1. SOL shall be responsible for providing legal advice to the WECOs, OHR, servicing HRO, CRC, and management concerning the implementation and interpretation of this Policy and procedures. If an OIG employee is involved in an allegation, the OIG-Office of Legal Services (OIG-OLS) will provide legal advice to the OIG WECO and OIG management. Throughout this Policy and procedures, if an OIG employee is involved in an allegation, references to SOL should be replaced with OIG-OLS.
  6. Responsibilities of Agency Heads.
    1. Each Department of Labor Agency Head shall be responsible for:
      1. Taking appropriate action to enforce this Policy and procedures;
      2. Working closely with their agency WECO to ensure that this Policy and procedures are properly implemented;
      3. Issuing an annual affirmation of the Secretary’s Policy Statement and a commitment to a workplace free of harassment consistent with this Policy and procedures; and
      4. Ensuring appropriate training as assigned for all agency managers to ensure they are properly prepared to effectively respond to allegations of harassing conduct, particularly before egregious misconduct occurs.

306 Reporting Harassment

  1. The procedures for reporting incidents of harassing conduct are as follows:
    1. Any person who believes that they have been the subject of or witnessed an incident of harassing conduct, or who otherwise has knowledge of an incident of harassing conduct in violation of this Policy and procedures, may report this matter to any person occupying a managerial or supervisory position within the Department of Labor.  It is recommended that reporting be made to the respective agency WECO in the National Office. 
    2. There is no prescribed timeframe for raising concerns under this Policy and procedures, although prompt reporting is strongly encouraged.  It is important to understand that it may be more difficult to investigate and address allegations that are aged.  However, the Department will review all allegations in an attempt to stop any harassing conduct, which is the only remedy available under this Policy and procedures.
    3. Aggrieved individuals or alleged victims may file concurrent complaints under this Policy and procedures with their agency WECO and the EEO complaint process with the CRC.  EEO complaints must be filed within 45 calendar days of the most recent incident of harassment and/or allegation of unlawful disparate treatment.  See Section 304 above for more information.
    4. An aggrieved individual or alleged victim (employee, applicant, or employee of a DOL contractor) may initially contact a manager or supervisor, including the WECO, in person, by email or letter, or by telephone to file a complaint.  The complaint may be filed either by the aggrieved individual or alleged victim, anyone acting on their behalf, or any third-party with knowledge of the alleged harassment.
    5. Complaints filed under this Policy and procedures may be filed anonymously.  Individuals should be aware that it may be more difficult to investigate anonymous complaints effectively.  Anonymous complaints containing more specific allegations, or those in which multiple named people are believed to have witnessed inappropriate behavior, may be easier to investigate and act on.  When complaints are filed anonymously, the Department is not able to communicate information on the status and outcomes to aggrieved persons. 
    6. As disciplinary action is covered by the Privacy Act, alleged victims or other participants in an inquiry under this Policy and procedures will not be notified of the action taken to address their concerns.  Aggrieved individuals or alleged victims – and any witnesses participating in this process -- – should feel assured that the Department will uphold confidentiality to the greatest extent possible.
    7. Third Party Complaints: Third parties who do not formally “represent” aggrieved individuals or alleged victims may also bring allegations of harassing conduct to the attention of management.  Third parties who are thinking about raising such allegations are encouraged to speak with any alleged victims before doing so, in an attempt to gain a better understanding of what may have happened. (Of course, this assumes that the victims knew of the inappropriate behavior.)  Third parties may feel subjected to a hostile work environment, even if they are not the direct target of the inappropriate behavior – particularly if they see or overhear such behavior.

307 Inquiries into Allegations of Harassing Conduct

  1. When the WECO receives an allegation of harassing conduct, either directly by an aggrieved individual or through a supervisor, manager or other source, they shall evaluate it to determine whether the allegations warrant an inquiry under this Policy and procedures.  If so, the WECO will ensure that a prompt, thorough, impartial and appropriate inquiry is conducted; evaluate the evidence to determine whether it comports with the Policy, or is reasonably likely to violate the Policy and procedures if the conduct persists without intervention; and recommend management officials consult the servicing HRO to determine the appropriate action to stop any harassing conduct and prevent further harassment, including granting appropriate interim relief to the alleged victim of harassing conduct while the allegations are being investigated.  It is noted that an inquiry under this Policy and procedures may not replicate an investigation under the EEO process.  Inquiries under the Harassing Conduct Policy and procedures are meant to promptly assess whether harassing conduct that could include a one-time epithet or other action limited in scope has occurred/is occurring in the workplace and take prompt steps to address it.  As such, an inquiry may be more narrow or targeted.
  2. When conducting or overseeing fair and impartial fact-finding inquiries into allegations of harassing conduct brought under this Policy and procedures, the WECO will have the authority to decide who will conduct an inquiry into an allegation of harassment, provided that the person conducting the inquiry has had appropriate training in investigating allegations of workplace misconduct. In complex or difficult cases, including those that raise potential conflict of interest concerns for the WECO’s continued processing, the WECO will draw upon the expertise of the OHR, servicing HRO, CRC, and SOL, as they deem appropriate.

308 Procedures for Fact-Finding Inquiry

  1. Fact-finding shall include, at a minimum, interviews with: (1) the aggrieved person, (2) the accused harasser(s), and (3) any witnesses to the alleged conduct or persons who may have knowledge of it or similar conduct.  A fact-finding should also seek to uncover documentation including any written communication that may prove or disprove the allegations. 
  2. Each inquiry will be different and depend upon the specific circumstances of the allegations.  A written summary of the fact-finding shall be prepared by the individual conducting the inquiry.  The summary will be prepared promptly after completion of the inquiry and shall be submitted to the WECO (if the WECO did not conduct the inquiry).
  3. If the WECO determines, in consultation with the servicing HRO, that the information obtained in the inquiry does not comport with the Policy and procedures, or is reasonably likely to violate the Policy and procedures if the conduct persists without intervention, the summary and all relevant records obtained in the inquiry, and any recommendations by the WECO, will be provided to the next-level supervisor in the alleged harasser’s management chain.  That next-level supervisor is responsible for consulting with the servicing HRO and/or OHR to take any appropriate proportionate corrective action, disciplinary action, or other action regarding the accused harasser.
  4. The servicing HRO and/or OHR will be provided with this information to facilitate the process for determining and taking any appropriate, prompt and proportionate corrective action, disciplinary action, or other action, in accordance with 5 C.F.R. 752 and the Department’s Table of Penalties, up to and including removal.  The servicing HRO and/or OHR will seek to make sure that such action is consistent with prior action taken against other individuals who have engaged in similar misconduct.

309 Timeframes for Handling Harassing Conduct Complaints

  1. The Department is obligated by law to promptly and effectively investigate complaints of harassing conduct. To the extent practicable, the WECO will investigate complaints, report conclusions, and make recommendations within 90 calendar days from receipt of the complaint.  Every case is different.  The amount of time needed to conduct an effective inquiry is determined by multiple factors outside of the Department’s control, such as the number and complexity of the allegations, number and availability of witnesses, and the availability of staff or contractors to conduct an impartial inquiry.  Even so, the Department will endeavor to investigate complaints as expeditiously as possible. 
  2. Any management official who receives an allegation of, or witnesses, harassing conduct should report it to the applicable WECO immediately but within no later than two (2) business days.
  3. Within ten (10) calendar days of the receipt of an allegation, the WECO, in consultation with the servicing HRO, should determine whether the allegation merits inquiry and if immediate interim relief is needed, in accordance with Chapter 310 under this Policy, absent extenuating services that necessitate more time to make this determination.  If the WECO determines that the allegation does not merit inquiry under this Policy, the aggrieved individual (unless anonymous) shall receive written notification explaining the rationale for the decision. The WECO, in consultation with the servicing HRO, may refer the matter for independent consideration under a separate Policy such as 5 U.S.C. Chapter 75.  Inquiries under Title 5 or another Policy or procedure – that do not consider harassing conduct based on a characteristic protected by the Harassing Conduct Policy and procedures – are not subject to the same timeframes set forth below.
  4. If the WECO determines that the allegation merits inquiry under this Policy, the inquiry should be completed within 90 calendar days of said determination absent extenuating circumstances as described in A above.  The aggrieved individual should be informed of the initiation of the inquiry and be kept informed on the status of the inquiry as appropriate.  If the inquiry is delayed and/or if the allegation seem substantiated while the inquiry is being finalized, interim relief should be affirmatively considered.
  5. Upon completion of the inquiry, the aggrieved individual should receive a letter indicating that the inquiry has been completed and general information about the outcome.  The Privacy Act may preclude release of specific information on outcomes.  The aggrieved individual should also be informed of their right to be free from retaliation and/or other assistance that may be available to them. 
  6. Upon completion of the inquiry that substantiates a violation of the Policy, the appropriate management official, in consultation with the servicing HRO, should determine the appropriate action to be taken on the harassing conduct complaint, within thirty (30) calendar days.  Certain actions afford due process rights to individuals.  Exercise of due process rights will extend the timeframe. The WECO will be informed of the corrective or disciplinary action taken following the determination by the management official and servicing HRO.
  7. Although the timeframes outlined in this section represent best practices, failure to adhere to these timeframes, without more, is insufficient to establish that an allegation of harassing conduct was not promptly investigated.  Every case is different and any determination as to whether the Department has met its obligation to promptly investigate allegations of harassment depends largely on “the particular facts of the case - the severity and persistence of the harassment, and the effectiveness of any initial remedial steps.” Owens v. Pena, E.E.O.C. Appeal No.05940824, 1996 WL 528826, at *9 (Sept. 5, 1996) (internal citations omitted).
  8. There is no right to an appeal under this Policy and procedures.  However, aggrieved individuals have the right to file EEO complaints within 45 calendar days of the date of the matter alleged to be discriminatory – even if this means that inquiries under this Policy and procedures and investigations under the EEO complaint process are running concurrently.
  9. The decision to conduct a fact-finding inquiry into allegations of harassing conduct does not, standing alone, give rise to an independent claim of discrimination with respect to filing an EEO complaint with the CRC. However, the decision to conduct a fact-finding inquiry may be relevant in determining whether the Department is vicariously liable for the harassing conduct, if the Department knew of the conduct, and failed to take prompt, effective, and corrective action in accordance with this Policy and procedures.

310 Types of Interim Relief under this Policy & Procedures

  1. The appropriate management official or supervisor, in consultation with the agency WECO, servicing HRO and/or OHR, shall determine whether to provide interim relief to alleged victims of harassment, pending the outcome of the inquiry, to prevent further misconduct.  Interim relief is not required or guaranteed nor may specific interim relief requested be provided if management prefers effective alternative relief.  Potential situations where interim relief is recommended include fear of physical threat as a result of the harassing conduct; and concerns that, based on the allegations presented, specific circumstances may present hardship to the alleged victim.  Nonetheless, interim relief may also be considered appropriate for reasons such as morale or a cooling off period, particularly if it may be afforded without undue burden on agency operations.
  2. A non-exhaustive list of interim relief that may be considered in accordance with this Policy and procedures includes:
    1. Transferring the alleged victim to a different supervisor (for example, when the supervisor is identified as the alleged harasser).
    2. Reassigning the alleged harasser and/or alleged victim to a position or work assignment that requires the same general skills, with retention of all compensation and benefit levels, and limits or avoids contact between the parties; whichever has the least impact to agency operations;
    3. Altering work hours or telework schedules to avoid contact between the parties; and
    4. Relocating the alleged harasser and/or alleged victim to a different location to limit or avoid contact between the parties.
  3. Interim relief under this Policy does not supersede the Department’s restrictions or requirements under statute, regulation, policy, or collective bargaining agreement.
  4. Filing a complaint under this Policy and procedures does not establish an entitlement to interim relief.  The decision to grant interim relief is at the discretion of the appropriate management official, in consultation with the WECO and OHR and/or the servicing HRO. 
  5. Interim relief should be applied so as not to unduly burden the alleged victim.  If the parties have to be separated, then the separation should not burden the employee who reported the harassing conduct.  Aggrieved individuals may raise claims of retaliation if interim relief may be considered unduly burdensome.

311 Action to Be Taken upon Completion of the Inquiry

  1. Upon completion of the inquiry where a violation of this Policy has been substantiated, and in consultation with the servicing HRO, agency management shall promptly evaluate the evidence and determine the appropriate action to take. This responsibility normally shall rest with the first-line supervisor of the employee whose conduct, as determined by the WECO, is inconsistent with the Policy, unless such supervisor is involved in the allegation. The WECO shall be informed of the corrective or disciplinary action taken within thirty (30) calendar days of the determination made by the management official and servicing HRO.  In cases of complex or egregious alleged harassing conduct, the supervisor and WECO should seek the advice of SOL.  If an OIG employee is involved in the allegation, the OIG-Office of Legal Services (OIG-OLS) will provide legal advice to OIG management.
  2. Where the evidence indicates that an employee engaged in harassing conduct under this Policy and procedures, the employee shall be subject to prompt and appropriate corrective action, disciplinary or otherwise, in accordance with 5 C.F.R. 752 and the Department’s Table of Penalties, up to and including removal.
  3. Where the evidence indicates that another individual in the workplace (e.g., a customer or an employee of a contractor) engaged in harassing conduct under this Policy and procedures, the Department shall take prompt and appropriate corrective action including appropriate communication with the relevant contractor.
  4. Where the evidence indicates that a manager or supervisor did not properly carry out the responsibilities provided for under this Policy and procedures, the manager or supervisor may be subject to prompt and appropriate corrective action, disciplinary or otherwise, in accordance with 5 C.F.R. 752 and the Department’s Table of Penalties, up to and including removal.

312 Remedies and Discipline

  1. This Policy and procedures are not intended to replace individual rights under EEO statutes and regulations.  This Policy and procedures are intended to address the conduct of the perpetrators of harassing behavior before it rises to egregious behavior and is so severe or pervasive as to constitute a violation of law.  The sole remedy under this Policy and procedures is an end to the harassing conduct.
  2. This Policy and procedures have purposes distinct from the EEO complaint process found at 29 C.F.R. 1614, et seq, and implemented by the CRC.  See also Section 304 above. The EEO complaint process is designed to make individuals whole for discrimination that already has occurred. For example, where discrimination is found to have occurred, make-whole relief may include compensatory damage awards, including attorney fees, and equitable relief paid by the agency, designed in part to have the effect of preventing the recurrence of the unlawful discriminatory conduct, but also to place the individual in a situation they would have been in had the harassment and/or unlawful discrimination not occurred. This Policy and procedures, on the other hand, are intended to take immediate and appropriate corrective action, including the use of proportionate disciplinary actions, to eliminate harassing conduct regardless of whether the conduct violated the law, to ensure harassment does not rise to the severe or pervasive level.
  3. When harassment has occurred, the Department will take immediate, and as defined under this Policy and procedures, proportionate corrective and/or disciplinary action consistent with its Table of Penalties.
  4. The Department cannot correct harassing conduct if the Department does not know about the conduct. When an employee unreasonably fails to take advantage of this Policy and procedures and does not promptly report an incident of harassing conduct as set forth herein, the Department reserves the right to raise this failure to report as a defense against an EEO complaint or a lawsuit for harassment, in accordance with Faragher and Ellerth.

313 Confidentiality

  1. All information regarding harassing conduct complaints and inquiries will be maintained on a confidential basis to the greatest extent possible. The maintenance of records and any disclosures of information from these records will comply with the Privacy Act, 5 U.S.C. 552a and Privacy Act System – DOL/Central 3.
  2. Such information, however, may be disclosed in accordance with those authorities, including:
    1. To support any disciplinary or adverse action arising from an inquiry under this Policy and procedures, as required under 5 C.F.R. 752;
    2. To defend the Department in any litigation, to include arbitration, to which the information may be relevant and necessary; and
    3. To officials and employees within the Department involved in assessing, responding to, investigating, attempting to resolve, defending, adjudicating, or other official duties requiring such access to relevant information, or otherwise have a need to know in order to carry out the purpose and intent of this Policy and procedures.

314 Mandatory Training

To ensure an effective Policy and create a work environment that is free from harassing conduct, training on this Policy and procedures shall be mandatory for all Department employees and employees of contractors.
The following training on workplace harassment is currently identified as mandatory(8):

Training on workplace harassment is currently identified as mandatory
Topic Audience Training provided
No FEAR Act Training

DOL federal and contractor employees

When hired and then biennially thereafter
EEO Training on Essential HR Competencies for Managers and Supervisors (Workplace harassment is one of the topics included in this training)

New DOL managers and supervisors

Annually
Workplace Sexual Harassment

DOL managers, supervisors and non-career appointees

When hired and then annually thereafter
Workplace Sexual Harassment

Non-supervisory employees

When hired and then biennially thereafter – alternating years with the No FEAR Act training

315 Guidelines for Implementing the Policy and Procedures to Prevent Harassing Conduct in the Workplace

  1. Background.
    1. The Policy to prevent and eliminate harassing conduct in the Department of Labor (DOL) is issued by the Secretary of Labor annually. The purpose of the “Harassing Conduct Policy” is to prevent harassing conduct from occurring, and to correct such conduct when it occurs in the workplace. The Policy addresses unwelcome verbal or physical conduct based on an aggrieved person or alleged victim’s (employee or contractor) race (including race-related characteristics, which may include an individual’s grooming and hair), color, ancestry (including ancestry-related characteristics, which may include an individual’s dress), national origin (including ethnicity, accent, and use of a language other than English), religion or religious creed (including reasonable accommodation of religious beliefs, observances, or practices), physical or mental disability (including reasonable accommodation of physical or mental disability), medical condition, genetic information, sex (including pregnancy, childbirth, lactation, abortion, and related medical conditions), sexual orientation, gender identity, transgender status, gender expression, intersex traits, sex stereotyping, sex characteristics, age (40 and up), parental status, any other prohibited factor, and/or retaliation for engaging in protected Equal Employment Opportunity (EEO) activity. Agency WECOs are required to review all complaints relating to allegations of harassing conduct to determine whether they fall within the purview of the Harassing Conduct Policy and, if so, are responsible for conducting or facilitating fair and impartial inquiries.
    2. The Secretary of Labor delegated responsibility for implementing the Harassing Conduct Policy and procedures to the Office of the Assistant Secretary for Administration and Management (OASAM). Within OASAM, the CRC is responsible for the overall Policy and procedures. This final section of the Policy and procedures is intended to provide guidelines for implementing the Harassing Conduct Policy to prevent harassing conduct in the DOL workplace.
  2. Responsibilities of the Agency WECO.
    1. Advise employees and contractors in their respective agency(ies) on the Harassing Conduct Policy and procedures as specified in this DLMS.
    2. Contact the aggrieved person or alleged victim within two (2) work days of receiving notice of the complaint to request a written statement or intake form and to inform them about the procedural steps that will follow. Regardless of whether the agency WECO determines to investigate a complaint under the Harassing Conduct Policy, advise aggrieved individuals or alleged victims of their right to file a complaint with CRC within 45 calendar days of the last incident of alleged harassing conduct, under the EEO process in accordance with 29 C.F.R. 1614; and notify them that filing a complaint under the Policy and procedures does not alter or extend the deadline for constituting timely contact with CRC.
    3. If not already provided, request that the aggrieved person or alleged victim provide a written statement or complete a harassment complaint intake form and submit it within five (5) work days. (The statement or form may be provided by email or fax, or hand delivery.)
    4. Determine whether the complaint is within the purview of this Policy and will be accepted for inquiry.
    5. If the complaint is not based on an employee’s race (including race-related characteristics, which may include an individual’s grooming and hair), color, ancestry (including ancestry-related characteristics, which may include an individual’s dress), national origin (including ethnicity, accent, and use of a language other than English), religion or religious creed (including reasonable accommodation of religious beliefs, observances, or practices), physical or mental disability (including reasonable accommodation of physical or mental disability), medical condition, genetic information, sex (including pregnancy, childbirth, lactation, abortion, and related medical conditions), sexual orientation, gender identity, transgender status, gender expression, intersex traits, sex stereotyping, sex characteristics, age (40 and up), parental status, any other prohibited factor, and/or retaliation for engaging in protected Equal Employment Opportunity (EEO) activity, the complaint should not be summarily dismissed for that reason. Harassing conduct that goes unrestrained, even when protected traits are not an apparent nexus to the conduct, may become so severe or pervasive as to alter the working conditions of a Department employee and violate relevant laws. This determination shall be documented and the WECO shall promptly inform the aggrieved person or alleged victim and advise them to contact their first or second-line supervisor and/or union representative, and/or provide information on other resources such as the Workplace Violence Policy. Offer assistance when possible to reach an expeditious resolution to the problem presented.
    6. If the complaint is within the purview of the Policy, advise the aggrieved person or alleged victim of this determination and next steps.
    7. Determine how and who will investigate any complaint within the purview of the Policy and procedures.  When appropriate, consult with OHR or the servicing HRO as to who should investigate a complaint that is within the purview of the Policy.  If a person other than an agency WECO coordinates or conducts an inquiry into harassing conduct, the investigating party shall inform the WECO about the findings when the inquiry is deemed concluded, unless a conflict of interest exists.
    8. Inform appropriate management officials about the complaint,(9) how the inquiry will be conducted and by whom, the level of administrative and financial cooperation for the purpose of acquiring a contract investigator or other resources that will be required of them, and the prohibition against retaliation towards aggrieved persons or alleged victims and other witnesses participating in the process.
    9. Consult with OHR and/or the servicing HRO, as appropriate, when advising supervisors and managers on the provision of interim relief to the alleged victims of harassing conduct pending the conclusion of the inquiry to ensure further misconduct does not occur.
    10. Consult with OHR or the servicing HRO regarding notification of the appropriate union about any bargaining unit employees who the investigator will contact in person or by telephone, in accordance with DOL’s collective bargaining agreements. (Note: written requests for information do not require notice to a union.)
    11. Evaluate the evidence obtained in the inquiry to determine whether it comports with the Policy and procedures, in consultation with the OHR and SOL;
    12. Advise supervisors, managers, and other persons with a need to know on the outcome of the inquiry and make recommendations to resolve those allegations under this Policy and procedures.
    13. Document all actions taken, even when it is not handled as a harassing conduct complaint.
    14. The WECO should continue the harassing conduct inquiry initiated under the Policy to its conclusion, even if the aggrieved individual or alleged victim attempts to withdraw the complaint and/or files a separate, concurrent complaint with the CRC under the EEO complaint process.
    15. Record and track information on all complaints received.
  3. Use of a Contract Investigator.
    1. The agency WECO should:
      1. Consider using a contract investigator for complex harassing conduct complaints. For example, cases where an aggrieved person or alleged victim alleges harassing conduct by a high-ranking official, an administrative law judge or board member, or another agency WECO.
      2. Contact the CRC, which manages a contract or Memorandum of Understanding (MOU) for this purpose, to engage independent investigative services.
    2. Inquiry of Harassment Cases
      1. Coworker (including Subordinate/Managerial) Harassment
        1. The WECO will determine who shall conduct and how to investigate a complaint that is in the purview of the Policy and procedures.  (If a person other than an agency WECO coordinates or conducts an inquiry into harassing conduct, the inquiring party shall inform the WECO about the findings when the case is deemed concluded.)
        2. The WECO may obtain signed or sworn statements concerning the harassing conduct reported. (Signed or sworn statements received by the WECO or person conducting the inquiry of the harassing conduct allegation will be maintained on a confidential basis to the greatest extent possible.)
        3. The WECO will prepare a final report that summarizes the information gathered in each inquiry of a harassing conduct complaint and advise the appropriate agency official. The WECO will consult with OHR and/or the servicing HRO, and SOL or OIG counsel for legal guidance, as appropriate.
        4. The WECO who investigated or facilitated the inquiry of the complaint of harassing conduct will inform the aggrieved person or alleged victim at the completion of the inquiry that the matter is completed and, if applicable, referred to the appropriate agency official for further action. In accordance with requirements of the Privacy Act of 1974, 5 U.S.C. § 552a, as amended, and to protect the rights of persons involved in the complaint process, the WECO may not report the specific action taken or disclose the information obtained.
          1. Note: There are Privacy Act concerns related to the disclosure of specific actions, including disciplinary actions that may be taken against the alleged harasser. The WECO shall refer all requests for disclosure of information and documents pertaining to a harassing conduct complaint to the agency's designated Freedom of Information Act (FOIA) / Privacy Act Coordinator or office.
        5. If the aggrieved person or alleged victim leaves DOL before the inquiry is completed, the WECO will ensure that the inquiry is completed, a final report is prepared, the aggrieved person or alleged victim is notified of its conclusion, and, if applicable, that the matter has been referred to the appropriate agency official for further action, if necessary.
        6. If an alleged harasser leaves one agency for another agency within DOL, the WECO shall inform OHR and/or the servicing HRO and will continue to investigate and/or transfer the inquiry to the new WECO for completion.
        7. If an alleged harasser leaves DOL or Federal service, the WECO will notify the aggrieved person or alleged victim that the inquiry or other efforts have been suspended, as DOL has no further authority to address actions of the alleged harasser, unless there are extenuating circumstances such as failure on the part of the agency to handle the harassing conduct appropriately. (Note: the sole remedy of the Policy is to stop the harassment).
  4. Harassment Involving Employees or Contract Staff in Different DOL Agencies.
    1. If employees or contractors of two or more agencies, who are serviced by different WECOs, are implicated in a harassing conduct complaint, the WECO for the agency of the aggrieved person or alleged victim who files the complaint will serve as the lead.  The lead WECO receiving the complaint will conduct or facilitate the inquiry and will notify the other WECO(s) of the level of administrative cooperation required for making alleged harassers or witnesses available to the investigator and/or financial support for the purpose of acquiring a contract investigator or other resources that will be required of them.
    2. If a contract investigator is needed to conduct an inquiry into the complaint, the cost of the contractor will be borne by the agency that employs the alleged harasser. 
    3. The lead WECO may call upon other WECOs to communicate with their employee(s) or contractor(s) on behalf of the investigator, as appropriate.
      1. The lead WECO will prepare a final report that summarizes the information gathered in each inquiry of a harassing conduct complaint; and advise the appropriate management official. The lead WECO will consult with OHR and/or the servicing HRO, and SOL or OIG counsel for legal guidance, as appropriate, when advising.
    4. The lead WECO will provide the other WECO(s) with a copy of the final report and all information obtained in the inquiry. 
    5. The lead WECO who investigated or facilitated the inquiry of the complaint of harassing conduct will inform the aggrieved person or alleged victim at the completion of the inquiry that the matter is completed and, if applicable, referred to the appropriate agency official for further action. In accordance with requirements of the Privacy Act of 1974, 5 U.S.C. § 552a, as amended, and to protect the rights of persons involved in the complaint process, the WECO may not report the specific action taken or disclose the information obtained.
      1. Note: There are Privacy Act concerns related to the disclosure of specific actions, including disciplinary actions that may be taken against the harasser. The WECO shall refer all requests for disclosure of information and documents pertaining to a harassing conduct complaint to the agency's designated FOIA/Privacy Act Coordinator.
    6. If the aggrieved person or alleged victim leaves DOL before the inquiry is completed, the lead WECO will ensure that the inquiry is completed, a final report is prepared, the aggrieved person or alleged victim is notified of its conclusion, and, if applicable, that is has been referred to the appropriate agency official for further action.
  5. Complex Harassing Conduct Cases.
    1. Complaint Alleging Harassing Conduct by High-Ranking DOL Official
      1. In situations where harassing conduct is alleged against a high-ranking DOL official, including Assistant Secretaries, other officials of the Department whose appointment to office is required to be made by the President, by and with the advice and consent of the Senate (PAS) (except for the Inspector General and the Solicitor), Deputy Assistant Secretaries, and non-career SES appointees, notice of the complaint shall be directed to the Solicitor, who may delegate responsibility for investigating the complaint to the Associate Solicitor for the Office of Legal Counsel.
      2. The Associate Solicitor for the Office of Legal Counsel shall coordinate the inquiry into the complaint and will draw on the expertise of OHR, SOL-HRO, and SOL when it is appropriate.
      3. The Associate Solicitor for the Office of Legal Counsel may employ in all cases involving high-ranking officials a contract investigator to conduct the inquiry into the allegation of harassing conduct to ensure neutrality and integrity of the process. SOL will pay the cost for a contract investigator to initiate the inquiry. At the completion of the inquiry, the agency that employs the official implicated in the harassing conduct shall reimburse SOL for the cost of the contract investigator.
      4. The Associate Solicitor for the Office of Legal Counsel shall consult with agency supervisor(s) of the official implicated in the alleged harassing conduct and OHR and/or the servicing HRO, regarding appropriate interim relief to address the alleged harassing conduct when interim relief is necessary. In cases where allegations are brought against an Assistant Secretary or presidential appointee, the Associate Solicitor for the Office of Legal Counsel shall consult with the Deputy Secretary regarding appropriate interim relief to address the alleged harassing conduct.
      5. The Associate Solicitor for the Office of Legal Counsel will consult with the agency supervisor(s) of the official implicated in the alleged harassing conduct, and OHR and/or the servicing HRO, when necessary, regarding how to address any harassing conduct. In cases where allegations are brought against an Assistant Secretary or presidential appointee, the Associate Solicitor for the Office of Legal Counsel will consult with the Deputy Secretary regarding how to address any harassing conduct of the official.
      6. The Associate Solicitor for the Office of Legal Counsel shall prepare a summary report on the complaint.
      7. The Associate Solicitor for the Office of Legal Counsel, at the completion of the inquiry, shall ensure that the aggrieved person or alleged victim is informed that the matter is completed and referred to the appropriate agency official for further action, if necessary. In accordance with requirements of the Privacy Act of 1974, 5 U.S.C. § 552a, as amended, and to protect the rights of persons involved in the complaint process, the Associate Solicitor may not report the specific action taken.
      8. Nothing in this section shall apply to the Inspector General.
    2. Complaint Alleging Harassing Conduct by High-Ranking Official in SOL.
      1. In the case where the harassing conduct is alleged against a high-ranking official in the SOL, notice of the allegation should be directed to the Director of the CRC. The Director of the CRC shall be responsible for coordinating the inquiry of the allegation of harassing conduct.
        1. The Director of the CRC may employ a contract investigator to conduct the inquiry into the allegation of harassing conduct to ensure neutrality and integrity of the process. The OASAM will pay the cost for a contract investigator to initiate the inquiry. At the completion of the inquiry, the SOL shall reimburse the OASAM for the cost of the contract investigator.
        2. The Director of the CRC shall consult with the agency supervisor(s) of the official implicated in the alleged harassing conduct and OHR or the servicing HRO, regarding appropriate interim relief to address the alleged harassing conduct when interim relief is necessary. In cases where allegations are brought against the Solicitor, or other presidential appointee in SOL, the Director of the CRC shall consult with the Deputy Secretary regarding appropriate interim relief to address the alleged harassing conduct.
        3. The Director of the CRC shall consult with agency supervisor(s) of the official implicated in the alleged harassing conduct, and the OHR when necessary, regarding how to address any harassing conduct. In cases where allegations are brought against the Solicitor, or other presidential appointee in the SOL, the Director of the CRC shall consult with the Deputy Secretary regarding how to address any harassing conduct of the official.
        4. The Director of the CRC shall prepare a summary report on the complaint.
        5. The Director of the CRC, at the completion of the inquiry, shall inform the aggrieved person or alleged victim that the matter is completed and, if applicable, referred to the appropriate agency official for further action, if necessary. In accordance with requirements of the Privacy Act of 1974, 5 U.S.C. § 552a, as amended, and to protect the rights of persons involved in the complaint process, the Director of the CRC may not report the specific action taken.
        6. In the case where the harassing conduct is alleged against a high-ranking official in the Office of the Inspector General, notice of the allegation should be directed to the Council of the Inspectors General on Integrity and Efficiency.
  6. Complaint Alleging Harassing Conduct by an Agency WECO.
    1. The WECO for OASAM shall receive notice of all complaints alleging harassing conduct by or against another agency WECO (the “officer” or employees of the WECO, other than the WECO for the OIG.). The WECO for OASAM will determine who and how the inquiry into the complaint will be conducted. (If a person other than the WECO for OASAM coordinates or conducts an inquiry into harassing conduct, the investigating party shall inform the WECO for OASAM about the findings when the case is concluded.)
    2. The WECO for OASAM shall notify the supervisor of the individual who is accused of harassment of the level of administrative cooperation required for making alleged harassers or witnesses available to the investigator; and/or financial support for the purpose of acquiring a contract investigator or other resources that will be required of them.  If a contract investigator is needed to conduct an inquiry into the complaint, the cost of the contractor will be borne by the agency that employs the individual accused of harassment.
    3. The WECO for OASAM shall prepare a final report that summarizes the information gathered in each inquiry of a harassing conduct complaint; and advise the appropriate management official. The WECO for OASAM will consult with OHR and/or the servicing HRO, and SOL.
    4. The WECO for OASAM shall provide the supervisor of the accused individual with a copy of the final report and all information obtained in the inquiry.  If the WECO for OASAM concludes that the allegations were substantiated, the supervisor will consult with OHR and/or the servicing HRO for guidance on corrective action and/or discipline.
    5. The WECO for OASAM shall inform the aggrieved person or alleged victim at the completion of the inquiry that the matter is completed and, if applicable, referred to the appropriate agency official for further action, if necessary. In accordance with requirements of the Privacy Act of 1974, 5 U.S.C. § 552a, as amended, and to protect the rights of persons involved in the complaint process, the WECO for OASAM may not report the specific action taken or disclose the information obtained.
      1. Note: There are Privacy Act concerns related to the disclosure of specific actions, including disciplinary actions that may be taken against the harasser. The WECO for OASAM shall refer all requests for disclosure of information and documents pertaining to a harassing conduct complaint to the agency's designated FOIA Coordinator.
    6. In the case where the harassing conduct is alleged against the WECO for OASAM (the “officer” and/or employees of the WECO), notice of the allegation should be directed to the OHR. The OHR shall be responsible for coordinating the inquiry, and shall follow the procedures outlined in this section on harassing conduct alleged against an agency WECO.
    7. In the case where the harassing conduct is alleged against the WECO of the OIG, notice of the allegation should be directed to the OIG’s Employee Relations Specialist and consultation will occur with OIG counsel.
  7. Complaint Involving Employees or Contractors of CRC.
    1. The WECO for OASAM shall be responsible for coordinating or facilitating any inquiry of a complaint of harassing conduct brought by or against an employee of or contractor with the CRC.(10) Where contract staff is involved, the WECO for the alleged harasser shall bring the matter to the attention of the Senior Procurement Executive (SPE), OHR and/or the servicing HRO, and SOL and consult as to whether any interim relief should be provided to the contractor, pending the conclusion of the inquiry. (For example, allowing the contractor (alleged victim) to work from an alternate location.) In all instances, the WECO will coordinate the interviews of contractors and collection of information from contractors with the SPE. (Signed or sworn statements received by the WECO or person conducting the inquiry of the harassing conduct allegation will be maintained on a confidential basis to the greatest extent possible.)
    2. The WECO for OASAM shall prepare a final report that summarizes the information gathered in each inquiry of a harassing conduct complaint and advise the appropriate management official. The WECO for OASAM will consult with OHR and/or the servicing HRO, and SOL or OIG counsel for legal guidance, as appropriate.
    3. The WECO for OASAM shall inform the aggrieved person or alleged victim at the completion of the inquiry that the matter is completed and referred to the appropriate agency official for further action, if necessary. In accordance with requirements of the Privacy Act of 1974, 5 U.S.C. § 552a, as amended, and to protect the rights of persons involved in the complaint process, the WECO may not report the specific action taken or disclose the information obtained.
      1. Note: There are Privacy Act concerns related to the disclosure of specific actions, including disciplinary actions that may be taken against the harasser. The WECO for OASAM shall refer all requests for disclosure of information and documents pertaining to a harassing conduct complaint to the agency's designated FOIA / Privacy Act Coordinator.
  8. In the case where the harassing conduct is alleged against the Director of CRC, notice of the allegation should be directed to the WECO for SOL. The WECO for SOL shall be responsible for coordinating the inquiry, and shall follow the procedures outlined in this section. 
  9. Complaint by a Contractor Alleging Harassing Conduct by a DOL Employee.
    1. If a contractor complains of harassing conduct by a DOL employee, the WECO of the agency that employs the alleged harasser shall determine who and how to investigate a complaint that is in the purview of the Policy and procedures.  (If a person other than an agency WECO coordinates or conducts an inquiry into harassing conduct, the investigating party shall inform the WECO about the findings when the case is deemed concluded.)
    2. The WECO for the alleged harasser shall bring the matter to the attention of the Senior Procurement Executive (SPE), and OHR and/or the servicing HRO, and consult as to whether any interim relief should be provided to the contractor, pending the conclusion of the inquiry. (For example, allowing the contractor (alleged victim) to work from an alternate location.)
    3. The WECO may obtain signed or sworn statements concerning the harassing conduct reported. In all instances, the WECO will coordinate the interviews of contractors and collection of information from contractors with the SPE. (Signed or sworn statements received by the WECO or person conducting the inquiry of the harassing conduct allegation will be maintained on a confidential basis to the greatest extent possible.)
    4. The WECO shall prepare a final report that summarizes the information gathered in each inquiry of a harassing conduct complaint and advise the appropriate management official. The WECO shall consult with OHR and/or the servicing HRO, and SOL or OIG counsel for legal guidance, as appropriate.
    5. The WECO shall inform the aggrieved person or alleged victim at the completion of the inquiry that the matter is completed and referred to the appropriate agency official for further action, if necessary. In accordance with requirements of the Privacy Act of 1974, 5 U.S.C. § 552a, as amended, and to protect the rights of persons involved in the complaint process, the WECO may not report the specific action taken or disclose the information obtained.
      1. Note: There are Privacy Act concerns related to the disclosure of specific actions, including disciplinary actions that may be taken against the harasser. The WECO shall refer all requests for disclosure of information and documents pertaining to a harassing conduct complaint to the agency's designated FOIA/Privacy Act Coordinator.
  10. Complaint by DOL Employee Alleging Harassing Conduct by Non-DOL Employee (including Customer or Contractor).
    1. Contractors are expected to conduct themselves in a manner that is consistent with the standards and policies that would apply if they were DOL employees. If a DOL employee reports harassing conduct by a contractor or customer, the WECO for the aggrieved person or alleged victim (DOL employee) shall bring the matter to the attention of the SPE (if the alleged harasser is a contractor), and OHR and/or the servicing HRO to determine who and how an inquiry will be conducted or what other actions will be taken to appropriately address the allegations. For field and regional offices, the WECO may also contact the OASAM Regional Administrator for assistance in taking necessary action.  In dealing with contract staff, the WECO will coordinate with the SPE to ensure its involvement does not create a direct management role for DOL over contractor employees.   
    2. The WECO may obtain signed or sworn statements concerning the harassing conduct reported. In all instances, the WECO will coordinate the interviews of contractors and collection of information from contractors with the SPE. (Signed or sworn statements received by the WECO or person conducting the inquiry of the harassing conduct allegation will be maintained on a confidential basis to the greatest extent possible.)
    3. The WECO shall prepare a final report that summarizes the information gathered in each inquiry of a harassing conduct complaint and advise appropriate management officials.
    4. Where contractors are involved, the WECO shall provide a copy of the final report to the SPE for their records. OSPE will determine what information will be provided to the contractor’s employer.
    5. The WECO shall inform the aggrieved person or alleged victim at the completion of the inquiry that the matter is completed, and if applicable, referred to the appropriate agency official for further action. In accordance with requirements of the Privacy Act of 1974, 5 U.S.C. § 552a, as amended, and to protect the rights of persons involved in the complaint process, the WECO may not report the specific action taken or disclose the information obtained.
      1. Note: There are Privacy Act concerns related to the disclosure of specific actions, including disciplinary actions that may be taken against the harasser. The WECO shall refer all requests for disclosure of information and documents pertaining to a harassing conduct complaint to the agency's designated FOIA Coordinator.
  11. Final Report on Harassing Conduct Inquiry.
    1. A final report that summarizes the inquiry into an allegation of harassing conduct should be prepared by the individual conducting the inquiry. The WECO who conducted or facilitated the inquiry will be responsible for maintaining a copy of the report and all records gathered in the inquiry, in accordance with the Federal Records Schedule (N1-GRS-92-1 item 30b).
    2. The report should include:
      1. Name and Location of DOL agency or contractor that employs the alleged harasser
      2. Name, Address, and Signature of the Investigator
      3. Date of Report
      4. Index of File
      5. List of Affidavits with the names of all parties or witnesses interviewed, job title, grade level, address, and relevant protected characteristics
      6. List of Exhibits
      7. Investigative Summary with a statement of all issues investigated, a summary of specific testimony associated with each issue, and record evidence associated with issues investigated
  12. Reporting and Tracking Harassing Conduct Complaints.
    1. The WECO is responsible for reviewing complaints or contacts under the Policy. Whether those complaints are determined to be within the purview of the Policy and/or whether they are accepted for inquiry, the WECO shall be responsible for keeping a record of these contacts for reporting purposes to the CRC or, upon request, to agency management, OHR, and/or SOL as described below:
      1. Provide the CRC with a quarterly report containing the following information:
        1. Name of the alleged harasser;
        2. Date of initial contact with the WECO office;
        3. Geographical region or duty station of the alleged harasser’s office and the office address;
        4. Name of alleged harasser’s agency or contractor;
        5. Name of aggrieved person or alleged victim;
        6. Basis of the allegation;
        7. Brief description of alleged harassing conduct;
        8. Disposition of the complaint (notation after every 30 days);
        9. Conclusion reached (allegations substantiated or not substantiated);
        10. Date case was concluded; and,
        11. Corrective action and/or discipline taken, if applicable, with date.
      2. Upon request, provide agency management, OHR, and/or SOL with aggregate data containing the following:
        1. Number of complaints received;
        2. Number of cases concluded;
        3. Average time expended to conclude the case;
        4. Bases of the cases investigated; and
          1. Name and geographical regions/offices from which the cases originated.
          2. Name and geographical region or duty station of the alleged harasser’s agency or office;
          3. Name and geographical region or duty station of the aggrieved individual or alleged victim’s agency or office;
          4. Basis of the allegation;
          5. Brief description of alleged harassing conduct;
          6. Disposition of the complaint (notation after every 30 days);
          7. Conclusion reached (allegations substantiated or not substantiated);
          8. Date case was concluded; and,
          9. Types/forms of corrective actions and/or discipline taken, if applicable, with date.
      3. Maintain the report and complaint summary form in accordance with the systems of records prescribed.

(1)  Note that Policy Statements issued by the Secretary of Labor may articulate additional groups for which harassment is prohibited.  This Policy and procedures do not address bases beyond those covered by statutes and regulations enforced by the Equal Employment Opportunity Commission (EEOC).  Other procedures may be available to address allegations of harassment based on membership in other protected groups.
(2)  Quid pro quo harassment generally results in a tangible employment decision based upon the employee’s acceptance or rejection of sexual advances or requests for sexual or other favors.  This kind of harassment is generally committed by someone who can effectively influence or make or recommend formal employment decisions (such as termination, demotion, or denial of promotion) that will affect the victim.
(3)  Complaints of discriminatory or retaliatory harassment may also be raised under the Equal Employment Opportunity (EEO) complaint process, as outlined in 29 CFR § 1614, administered by the CRC.  Filing a Harassing Conduct complaint pursuant to the Policy and procedures does not constitute filing an EEO complaint.  When allegations of harassing conduct are raised in the EEO process, the CRC will alert the appropriate agency WECO who may initiate an inquiry separate and apart from the EEO complaint investigative process.
(4)  Formerly known as EEO Managers
(5)  If the person making a complaint under this policy is an Office of Inspector General (OIG) employee, the OIG’s Office of Legal Services (OLS) will perform reviews contemplated by this policy in lieu of the SOL in accordance with Section E, infra.
(6)  If the person making a complaint under this policy is an Office of Inspector General (OIG) employee, the OIG Office of Management and Policy (OMAP) will perform the duties outlined in this section in lieu of the DOL OHR.
(7)  The OASAM WECO services: ALJ, ARB, ASP, BRB, EBSA, ECAB, ETA, ILAB, MSHA, OASAM, OCIA, ODEP, OCFO, OFCCP, OLMS, OPA, OSEC, OSHA, OWCP, VETS, WB, and WHD.  SOL, OIG, and BLS each have their own WECO. 
(8)  See Memorandum on Mandatory Equal Employment Opportunity (EEO) Training, March 14, 2019.  CRC or other appropriate entities may change the required training, without notice or without amendment to this Chapter. 
(9)  Management officials may only be provided with information that they have a “need to know” in accordance with the Privacy Act and other relevant requirements. 
(10)  Complaints alleging dissatisfaction with the processing of EEO complaints may not be raised under the Harassing Conduct Policy but must be raised to the CRC Director (the “EEO Director”) pursuant to 29 CFR 1614.