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Investigations COE Frequently Asked Questions

This is a list of frequently asked questions about the Investigations Center of Expertise

Table of Contents

What is the Investigations Center of Expertise?

Complaints alleging violations of Commonwealth-wide policies (listed below) are to be reported to and investigated by dedicated investigators, located at the Investigations Center of Expertise (COE), which is overseen by HRD’s legal counsel, resulting in:

  • Consistency of approach
  • Efficient use of resources
  • Accountability for results
  • Reporting that informs necessary training

Which investigations are handled by the COE?

The COE is responsible for investigating complaints between employees that allege a violation of a Commonwealth-wide policy that involve allegations of Sexual Harassment, Discrimination, Workplace Violence, Domestic Violence/Sexual Assault/Stalking, and Retaliation related to these policies. Investigations regarding other employee concerns will continue to be handled by the employee’s agency.

How can I make a complaint to the COE?

There are multiple channels to reach an investigator at the COE. The online form and toll-free phone number (833) 778-7270 are convenient options for employees. Employees may also contact their HR Director, Diversity Director, Sexual Harassment Officer, General Counsel or Manager. If an employee reports any concern that could amount to a policy violation, the agency will report the matter to the COE. Once the COE is informed of the concern, if it falls within the purview of the COE, the COE will investigate the claim.

What is Sexual Harassment?

The Sexual Harassment Policy for the Executive Department of the Commonwealth of Massachusetts includes a broad definition of sexual harassment. Sexually oriented conduct, whether it is intended or not, whether engaged in by a supervisor, a co-worker or co-workers, that is unwelcome and has the effect of creating a work environment that is hostile, offensive, intimidating, or humiliating to male, female, or employees who do not identify as gender binary, may constitute sexual harassment.

Sexual harassment may involve individuals of the same or different genders, or those who do not identify as gender binary.

The person reporting an allegation of sexual harassment, (the “complainant”), does not have to be the person at whom the unwelcome sexual conduct is directed. The complainant, regardless of gender, may be a witness to or otherwise personally offended by such conduct. The alleged harasser may be anyone including a supervisor, a manager, a co-worker, or a non-employee, such as a recipient of public services or a vendor.

What are some examples of Sexual Harassment?

Examples of workplace sexual harassment include, but are not limited to:

  • gender based bullying, including bullying based on transgender or non-gender binary status;
  • attempts to coerce an unwilling person into a sexual relationship;
  • repeatedly subjecting a person to unwelcome sexual or romantic attention;
  • punishing a person’s refusal to comply with a request for sexual conduct; and
  • conditioning a benefit on submitting to sexual advances.

In addition, while it is not possible to list all circumstances that may constitute sexual harassment, the following are some examples of conduct, which if unwelcome, may constitute sexual harassment depending upon the totality of the circumstances including the severity of the conduct and its pervasiveness:

  • Unwelcome sexual advances, flirtations or propositions -- whether they involve physical touching or not;
  • Sexual “kidding” epithets, jokes, written or oral references to sexual conduct;
  • Gossip regarding one’s sex life;
  • Comment on an individual's body or on an individual’s sexual activity, deficiencies, or prowess;
  • Displaying sexually suggestive objects, pictures, posters, cartoons;
  • Unwelcome leering or staring at a person;
  • Sexual gestures and suggestive or insulting sounds such as whistling, or comments with sexual content or meaning;
  • Uninvited sexual contact, such as touching, hugging, and purposely brushing against the body, patting or pinching;
  • Indecent exposure;
  • Inquiries into one’s sexual experiences;
  • Discussion of one’s sexual activities;
  • Sexual emails; and
  • Sexting, or sexual messages or images posted on social media, including but not limited to instant messages, Facebook posts, Tweets, Snapchat, Instagram, or blog entries.

What is Discrimination?

The discrimination policy for the Executive Department of the Commonwealth of Massachusetts defines discrimination as unfair treatment because of an individual’s membership in a particular group. The policy is violated when an individual or group is treated differently from others similarly situated with respect to the terms, conditions or privileges of employment because he or she is a member of a class protected by law. It may involve, but is not limited to:

  • harassment, by creating, or allowing to exist, an environment hostile to an individual’s membership in a protected class;
  • failing to provide an individual a reasonable accommodation to an individual’s disability; and/or
  • pursuing a practice or policy, which, while it appears neutral on its face, has a disproportionate impact on individuals who are members of a protected class.

What is Workplace Violence?

The workplace violence policy for the Executive Department of the Commonwealth of Massachusetts prohibits workplace violence.  Workplace violence includes, but it not limited to, the following:

  • Physical assault and/or battery;
  • Threats and/or acts of intimidation communicated by any means that cause an employee to be in fear of their own physical safety or that of a colleague;
  • Disruptive or aggressive behavior that places a reasonable person in fear of physical harm and/or that causes a disruption of workplace productivity; and/or
  • Property damage.

What is the COEs role investigating issues related to Domestic Violence, Sexual Assault or Stalking?

The COE will investigate allegations where an employee has been alleged to have committed a violation of the Commonwealth’s zero tolerance policy. If you are a victim of domestic violence, sexual assault or stalking, please contact your Human Resources Department for assistance with accessing benefits or assistance under the policy.

What is retaliation?

Retaliation is an adverse action taken against an employee in response to a protected activity, such as filing a complaint or participating in the investigation of a compliant of one of the above-described policies. Employees may file a complaint with the COE if they believe they have experienced adverse action because of their role in an investigation.

What is adverse action?

An adverse action is an action taken by an employer that negatively affects an employee’s job. Some examples of adverse actions include loss of pay, disciplinary action or significantly diminished responsibilities.

What sort of information should be included when making a complaint using the online form?

When completing the on-line form, please provide as many details as possible about the nature of the complaint. Include dates, a description of relevant events, any possible witnesses, and/or any other information relevant to your complaint. The online form includes the ability to upload attachments so provide as much information with the complaint as necessary.

What does the investigation process look like?

Investigations have three phases. The complaint is made during the intake process, which is followed by the investigation process, and based on the investigative findings, appropriate action may or may not be taken.

What can be expected from the intake process?

Every complaint received by the COE is reviewed by an investigator within one business day of its receipt. The investigator reviews the information provided in the complaint to determine if it includes the type of policy violation investigated by the COE (a list of the policies can be found in the "Which investigations are handled by the COE?" question). If necessary, the investigator will contact the person making the complaint and/or the person who experienced the events underlying the allegation to ask questions to clarify any information included in the complaint. If the allegations in the complaint do not fall within the policies the COE investigates, an investigator will contact the reporting party to let him/her know that the complaint will be investigated by that employee’s agency. The investigator will also contact that party’s employing agency to provide information about the complaint for further investigation by the agency. This review, and the determination of who will investigate the complaint, will take place within two business days.

What happens next?

Shortly after being assigned a new case, the COE investigator will reach out to the Complainant to schedule an interview. Interviews of all parties are audio-recorded for the purposes of note taking. This ensures that interviews with all involved parties are accurately captured and ultimately ensures the accuracy of the investigator’s report. The investigator then will interview any other witnesses and the person who is the subject of the complaint, (the “Respondent”), and seek any necessary additional evidence. Upon completion of the interview, each party and witness will be reminded that they are expected to keep the investigation and details of the interview as confidential as possible.

The COE investigator will contact the Complainant every thirty days to provide a high-level overview of the progress being made in the investigation. For example, the investigator may tell the Complainant that interviews of key witnesses are underway or being scheduled. The investigator will not share details regarding who is interviewed or what they expect the results of the investigation to show.

Following the collection of witness statements and any relevant evidence, the investigator will write a report that will include findings of fact and a conclusion as to whether there is a policy violation.

What if there are concerns about audio recording?

Audio recording interviews ensures that witnesses’ statements are accurately captured and enables the investigator assigned to the case to accurately report on statements made during the investigation. Please contact the investigator who can provide further information about the process and your role in the investigation.

Who can accompany an employee during the interview?

COE investigations are investigations related to employment with the Commonwealth and are often highly personal. The COE therefore strives to maintain the greatest degree of confidentiality. As such, observers, including attorneys, will not be permitted to attend interviews.

However, employees holding bargaining unit positions, who have a reasonable belief that what they say in the interview may lead to discipline, may have a union representative/union attorney with them. This is generally limited to the Respondent. If you have any questions, you may contact the investigator assigned to your case for further information.

Are employees obligated to participate in the investigator interview?

Yes, as employees of the Commonwealth there is an obligation to participate and provide honest and accurate information in any investigation.

What are the consequences if an employee refuses to participate?

COE Investigators will work with employees to explain the process to achieve a comfort-level for participation. If an employee continues to refuse to be interviewed or otherwise declines to participate in the investigation, the COE Investigator will inform their agency. A refusal to participate in a COE investigation will be considered insubordination, and the employee may be subject to discipline, up to and including termination.

Does the COE ask employees self-identifying questions during investigation interviews?

During investigation interviews, COE Investigators invite employees to voluntarily self-identify their demographic information (e.g., race, ethnicity, national origin, gender identity, etc.) as it relates to the investigation. Submission of this information is voluntary and a decision not to provide this information will not subject an employee to any adverse treatment. Similarly, investigators will not draw negative inferences from an employee’s decision to not answer a self-identifying question.

Why are employees asked self-identifying questions?

Employees are asked to voluntarily self-identify their demographic information as it relates to the allegations of a complaint so that investigators may look to similarly situated employees outside of a complainant’s protected class to determine whether they are treated more favorably than the complainant. Investigators use this information to determine whether a policy violation has occurred.

How long does the investigation process take?

Our goal is to conclude an investigation in 60 business days. However due to witness availability and other factors, an investigation could take longer.

How will the parties be informed of the results of the investigation?

When the COE investigator has completed the investigation, a report will be provided to the agency with the findings of fact and a conclusion as to whether a policy violation occurred. The COE will then notify the Complainant that the report has been sent to the agency. Due to the sensitive nature of the report it will not be disseminated to the parties involved. An agency will provide a synopsis of the report and the conclusion to the Complainant and the Respondent.

Who at the agency will know about the complaint?

Confidentiality is paramount to the investigation process. Upon receiving a complaint, the COE will notify selected points of contact at the agency. Those individuals will serve as the agency contacts for the investigation to receive periodic updates and to help facilitate logistics related to the investigation.

Can a complaint be filed anonymously?

While every effort is made, in any investigation, to keep the matter as confidential as possible, anonymous complaints are strongly discouraged. Knowing the identity of who made the complaint expedites the process and allows the investigation to be narrow in scope, thereby increasing the ability for confidentiality. In addition, it is important to note that retaliation is prohibited for the filing of a complaint to the COE.

What can a Respondent expect from the process when accused of a policy violation?

The investigator will reach out to the Respondent and let them know that a complaint against them has been filed and schedule an interview. This conversation may take place after the Complainant and other witnesses have already been interviewed. This is to ensure that the integrity of the investigative process is maintained. Respondents who are Union members may have a union representative present during the investigatory interview. Respondents may contact the investigators with questions about the process, but the substance of the investigation will not be disclosed. Respondents will be notified of the outcome of the investigation by their employer.

What if there is a concern of reporting or participating in an investigation because of retaliation?

The Commonwealth of Massachusetts prohibits its employees from retaliating against anyone for reporting or participation in any investigation. Respondents and witnesses are reminded of this in their interviews. Should any party or witness experience any adverse action as a result of their participation in a COE investigation, they should inform the COE which will initiate a new complaint and investigation.

What if a complainant changes their mind after making a complaint?

The Commonwealth, as an employer, is obligated to investigate complaints of workplace policy violations. Once a manager or the COE is aware of a complaint that falls within the purview of the COE, the COE will investigate the matter.

What happens with a false report?

It is crucial that only honest and genuine concerns of workplace policy violations are raised with managers or the COE. The COE and the Commonwealth take such concerns very seriously. All employees are expected to be truthful in their reporting and in any interviews in which they are asked to participate. If an investigator determines during the investigation that a complaint was known to be false when made, that finding will be reported to the employing agency. An employee who has made a complaint that is determined to knowingly be false when made will be subject to disciplinary action, up to and including termination.

How can I learn more about investigations if I still have questions?

If you have additional questions about the investigations process, please call the Investigations COE at (833) 778-7270.

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