Workplace Anti-Harassment Policy & Complaint Procedure
(State of New York)
[// GUIDANCE: This template is drafted for a New York employer. Replace bracketed placeholders, confirm citations, and tailor to the employer’s industry and workforce size.]
TABLE OF CONTENTS
- Document Header
- Definitions
- Operative Provisions
3.1 Statement of Policy
3.2 Scope & Coverage
3.3 Prohibited Conduct
3.4 Mandatory Training Requirements (NY)
3.5 Reporting Procedures
3.6 Investigation Protocols
3.7 Corrective & Remedial Action
3.8 Anti-Retaliation Safeguards
3.9 Recordkeeping & Confidentiality - Representations & Warranties
- Covenants & Restrictions
- Default & Remedies
- Risk Allocation
- Dispute Resolution
- General Provisions
- Execution Block
1. DOCUMENT HEADER
a. Title: Workplace Anti-Harassment Policy & Complaint Procedure
b. Employer: [COMPANY NAME], Inc., a [STATE OF INCORPORATION] corporation (“Company”)
c. Address: [COMPANY ADDRESS]
d. Effective Date: [EFFECTIVE DATE]
e. Governing Law: State of New York employment law (see §8.1)
f. Consideration: Continued employment and access to Company premises, systems, and confidential information.
g. Recitals:
i. The Company is committed to maintaining a workplace free from unlawful harassment, discrimination, and retaliation.
ii. This Policy is adopted pursuant to Title VII of the Civil Rights Act of 1964, the New York State Human Rights Law (N.Y. Exec. Law art. 15), and the New York Labor Law § 201-g.
2. DEFINITIONS
[// GUIDANCE: Definitions appear in alphabetical order and are used consistently throughout.]
“Complainant” – Any Employee or Covered Individual who makes a Report of Harassment.
“Confidential Information” – Information obtained during the Investigation that is protected from unauthorized disclosure, subject to lawful exceptions.
“Covered Individual” – Any Employee, applicant, intern (paid or unpaid), volunteer, contractor, vendor, or visitor on Company Premises.
“Employee” – Any individual employed by the Company on a full-time, part-time, temporary, seasonal, or per-diem basis.
“Harassment” – Unwelcome verbal, visual, or physical conduct based on a Protected Characteristic that (i) creates a hostile, intimidating, or offensive work environment; (ii) interferes with an individual’s work performance; or (iii) otherwise adversely affects employment opportunities.
“Investigation” – The fact-finding process initiated under §3.6.
“Protected Characteristic” – Race, color, creed, religion, sex, gender identity or expression, sexual orientation, national origin, age, disability, genetic information, marital status, familial status, domestic violence victim status, military status, pregnancy-related condition, or any other characteristic protected by applicable law.
“Report” – Any oral or written allegation of Harassment received under §3.5.
“Respondent” – Any person alleged to have engaged in Harassment.
3. OPERATIVE PROVISIONS
3.1 Statement of Policy
The Company strictly prohibits Harassment and retaliation in any form. All Covered Individuals must comply with this Policy, cooperate in Investigations, and complete mandatory training. Violations will result in discipline up to and including termination.
3.2 Scope & Coverage
a. Geographic Reach: This Policy applies to conduct (i) on Company Premises; (ii) during work-related travel, training, or events; and (iii) via Company-related electronic communications.
b. Persons Covered: All Employees and Covered Individuals, regardless of immigration status.
3.3 Prohibited Conduct
- Sexual Harassment, including unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a sexual nature.
- Harassment based on any Protected Characteristic.
- Retaliation against any person who makes a Report, participates in an Investigation, or exercises legal rights.
- Knowingly filing a false Report (subject to discipline).
3.4 Mandatory Training Requirements (NY)
a. Annual Interactive Training: All Employees must complete interactive sexual-harassment-prevention training each calendar year meeting N.Y. Labor Law § 201-g(2) requirements.
b. New Hire Training: New hires must receive training within thirty (30) calendar days of their start date.
c. Content Standards: Training shall include, at a minimum, (i) an explanation of Harassment consistent with NYS guidelines; (ii) examples of prohibited conduct; (iii) information on federal, state, and local remedies; (iv) a summary of this Policy; and (v) supervisor responsibilities.
d. Recordkeeping: The Company shall retain signed acknowledgments and training completion records for at least six (6) years.
3.5 Reporting Procedures
a. Internal Reporting Channels (choose any):
i. Direct Supervisor or Manager
ii. Human Resources Department: [HR EMAIL / PHONE]
iii. Anonymous Hotline: [HOTLINE NUMBER]
iv. Online Portal: [WEB URL]
b. Form of Report: Oral or written; the Company encourages use of the “Complaint Form” attached as Schedule A.
c. Timeframe: Reports should be made as soon as practicable; absence of prompt reporting shall not bar Investigation.
d. External Agencies: Complainants may also file with the NYS Division of Human Rights (DHR), the U.S. Equal Employment Opportunity Commission (EEOC), or a court of competent jurisdiction.
3.6 Investigation Protocols
a. Initiation: HR shall commence an Investigation within five (5) business days of receiving a Report.
b. Impartiality: Investigators shall have no actual or apparent conflict of interest.
c. Steps: (i) interview Complainant; (ii) notify Respondent; (iii) collect documentary and testimonial evidence; (iv) interview witnesses; (v) document findings.
d. Duration: The Company endeavors to complete Investigations within thirty (30) calendar days, subject to reasonable extensions.
e. Confidentiality: Information will be shared strictly on a need-to-know basis.
f. Interim Measures: The Company may implement temporary reassignment, paid leave, or other measures to protect the workplace.
g. Findings: A written determination shall be issued to both Complainant and Respondent, summarizing findings and corrective action, subject to privacy constraints.
3.7 Corrective & Remedial Action
Founded violations will result in prompt, proportionate remedial action up to termination of employment, contract cancellation, or legal action. Additional measures may include training, counseling, written warnings, or relocation of the Respondent.
3.8 Anti-Retaliation Safeguards
Retaliation is strictly prohibited. Any retaliatory conduct constitutes an independent violation subject to discipline. Reports of retaliation shall be processed under §§3.5-3.7.
3.9 Recordkeeping & Confidentiality
The Company shall maintain Investigation files, Reports, and remedial action records for no less than six (6) years or as otherwise required by law.
4. REPRESENTATIONS & WARRANTIES
4.1 Employee Acknowledgment. Each Employee represents that they (a) have received and reviewed this Policy; (b) understand their rights and obligations; and (c) will comply fully.
4.2 Company Warranty. The Company warrants that it will (a) provide training consistent with §3.4; (b) investigate Reports pursuant to §3.6; and (c) take remedial action under §3.7.
4.3 DISCLAIMER. Nothing in this Policy creates a contract of employment for any definite term, alters “at-will” status, or limits the Company’s right to revise the Policy at any time.
5. COVENANTS & RESTRICTIONS
5.1 Employee Covenants. Each Employee shall (a) refrain from Harassment; (b) cooperate in Investigations; (c) participate in training; and (d) maintain confidentiality consistent with §3.6(e).
5.2 Company Covenants. The Company shall (a) maintain multiple Reporting channels; (b) protect Complainants from retaliation; and (c) preserve records as required by law.
6. DEFAULT & REMEDIES
6.1 Events of Default. Any violation of this Policy, failure to complete training, obstruction of an Investigation, or retaliation.
6.2 Notice & Cure. For minor first-time violations, the Company may issue written notice and allow a reasonable cure period. Severe or intentional violations may result in immediate discipline.
6.3 Remedies. Discipline may include written warning, suspension, termination, contract cancellation, permanent ban from premises, or any other lawful remedy. The Company reserves the right to seek injunctive relief and damages in state court.
7. RISK ALLOCATION
7.1 Indemnification. To the fullest extent permitted by law and subject to N.Y. Bus. Corp. Law §§ 721-725, the Company shall indemnify directors, officers, and Employees acting within the scope of their duties against third-party claims arising from good-faith enforcement of this Policy.
7.2 Limitation of Liability. Nothing herein limits liability in contravention of applicable law; liability caps shall be applied only to the extent permitted by statute.
7.3 Insurance. The Company shall maintain Employment Practices Liability Insurance (EPLI) with minimum limits of [LIMIT AMOUNT] per claim.
7.4 Force Majeure. The Company’s obligations under training and Investigation deadlines shall be tolled during events beyond reasonable control (e.g., natural disasters, declared emergencies).
8. DISPUTE RESOLUTION
8.1 Governing Law. This Policy shall be governed by the laws of the State of New York without regard to conflict-of-laws principles.
8.2 Forum Selection. Any civil action arising out of or relating to this Policy shall be brought exclusively in the state courts located in [COUNTY], New York.
8.3 Limited Arbitration. Claims for unpaid wages or breach of contract may, by mutual written agreement after the dispute arises, be submitted to binding arbitration under the Commercial Rules of the American Arbitration Association. Discrimination, harassment, or retaliation claims shall remain in court unless the parties execute a separate, statutorily compliant arbitration agreement.
8.4 Jury Waiver. Nothing in this Policy constitutes a waiver of statutory rights to a jury trial.
8.5 Injunctive Relief. The Company reserves the right to seek temporary restraining orders or preliminary injunctions to enforce confidentiality, protect Complainants, or prevent ongoing Harassment.
9. GENERAL PROVISIONS
9.1 Amendment & Waiver. The Company may amend this Policy at any time. No waiver of any provision is effective unless in writing signed by an authorized Company representative.
9.2 Assignment. Employees may not assign rights or delegate duties under this Policy. The Policy is binding on successors and assigns of the Company.
9.3 Severability. If any provision is held unenforceable, the remainder shall remain in full force, and the invalid provision shall be reformed to the minimum extent necessary to make it enforceable.
9.4 Integration. This Policy supersedes all prior anti-harassment policies.
9.5 Electronic Signatures. Electronic acknowledgments and training certifications shall be deemed originals under the N.Y. State Technology Law § 304(2).
10. EXECUTION BLOCK
IN WITNESS WHEREOF, the Company has caused this Policy to be executed and delivered as of the Effective Date.
| For the Company | |
|---|---|
| By: ________ | Date: _____ |
| Name: [AUTHORIZED OFFICER] | |
| Title: [TITLE] |
Employee Acknowledgment:
I acknowledge receipt of and agree to comply with the Workplace Anti-Harassment Policy & Complaint Procedure.
| Employee Signature | Date |
|---|---|
| ________ | _____ |
| Print Name: [EMPLOYEE NAME] |
Schedule A – COMPLAINT FORM
[// GUIDANCE: Attach a compliant form per NY DOL model.]
[// GUIDANCE: Verify all references, customize placeholders, and provide translations if the workforce includes employees with Limited English Proficiency, as required by NY law.]