Review the Harassment Investigation Checklist to help you gather enough facts about the complaint.

• Harassment Investigation Checklist

The initial interview with the complainant sets the tone for the investigation. You can use the Harassment Investigation Interview Guidelines to help you with the interview.

• Harassment Investigation Interview Guidelines

Key to a successful interview is to make sure that the employee feels comfortable. Remember, the role of an investigator is that of a fact finder, and a comfortable interviewee helps that process. Follow these guidelines to try to limit the amount of stress a complainant might feel during the interview::

• Arrange for a private but comfortable setting. If your office is in a highly visible location, you may want to arrange after-hours interviews.
• Provide ample time and opportunity to gather the facts. The investigation may be very difficult for the complainant. Emphasize that the employee can take as much time as necessary and come back if they recall other facts later.
• Thank the complainant for bringing the matter to the company’s attention. Encourage the employee to speak freely and make all complaints known to you. Re-state the company’s policy against harassment and the procedure to resolve complaints in-house to demonstrate commitment to this matter.
• Use your outline to ensure an efficient interview while asking the complainant for any information supporting their complaint; detailed facts, witnesses, documents or any other evidence.
• Reassure the complainant that the company will not permit any form of retaliation for bringing the complaint. Ask the complainant to report any retaliation to you immediately. Retaliation includes further harassment, failure to promote or give performance increases, transfers and similar actions.
• Inform employees that their complaint will be kept confidential to the extent possible but do not promise complete confidentiality.1 Let the complainant know that you will disclose information on the complaint and investigation only on a need-to-know basis.
• Discuss with the complainant the importance to maintain the integrity of the investigation and consider avoiding any actions that would impede or interfere with the investigation.
• Blanket rules prohibiting employee discussions of ongoing investigations may violate labor law rights that apply to both union and non-union employers.
• The need for employees to not discuss the complaint during the course of an investigation should be examined on a case-by-case basis and take into account legitimate business factors such as concerns regarding destruction of evidence and the type of investigation (violence or theft, for instance). For more information, see Employer Investigations.
• Ask the complainant if they have any suggestions for the best way to resolve the matter. Stress that you may not follow these suggestions, but you will take them into consideration.

Develop a standard way to close the interview. The closing should include the following:

• Ask the complainant if there is anyone else with whom they would like you to speak to corroborate their allegations.
• Ask the complainant if they have told you about each and every harassment allegation.
• Tell the complainant to inform you of any information that they may have forgotten to mention or of any new information.
• Answer any questions that the complainant may have.
• If you choose to prepare a statement, do so as close to the time of the interview as possible. Most often, the information is too voluminous and detailed to prepare a statement immediately. In that case, tell the complainant that you will prepare a statement, give them an opportunity to review and revise it and then arrange for the document to be signed.
• Explain what will happen during the investigation from this point on. In most cases, it would be appropriate to share only the broad outlines of any future activity, such as, “I will be speaking to other people to reach a determination.”
• Encourage the complainant to inform you immediately if they experience any retaliation due to the complaint or resulting investigation. Remind them that you will not tolerate retaliation. A good investigator will ensure that the employer follows up with the complainant periodically during and after the investigation to make sure that retaliation does not occur.

Following the interview, make your own notes to record your observations of the interview and the complainant’s credibility.

1. 2 CCR sec. 11023