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Parallax Education Harassment or Discrimination Investigations Checklist

The following checklist and interview forms are provided to help you conduct a thorough investigation into any sexual harassment complaint.

 

  • Consider whether any immediate measures are necessary before the investigation is completed.
    • Scheduling changes
    • Consider transfer of the alleged harasser or, if voluntary, transfer of the Complainant.
    • Consider placing the alleged harasser on non-disciplinary leave with pay pending completion of the investigation.
  • Consider the order in which investigation interviews will be conducted.
    • Complainant
    • Alleged harasser.
    • Co-workers and other witnesses.
    • Second interview of the Complainant to discuss any factual questions as a result of the investigation.
    • Further interviews of any witnesses.
  • Interview each witness separately in an office or room where the discussion will not be overheard or observed by other witnesses, the alleged harasser, or any other unauthorized persons.
  • If possible, uninvolved managers should participate in the interview process. At least one of the investigating managers should be thoroughly familiar with sexual harassment law and the Company’s harassment policies and procedures. Also, at least one of the investigators should be well trained in interviewing witnesses and assessing credibility.
  • Before beginning the interview, explain the purpose of the interview by referring generally to recent personnel issues. Do not necessarily discuss the issue of harassment, so that you do not taint the witness’s recollection of the events, and cause potential gossip.
  • Emphasize that the Company takes these charges very seriously and that the Company is investigating these charges by interviewing all potential witnesses in compliance with Company policy.
  • Explain that upon completion of the investigation, the Company will attempt to determine what occurred, and will take appropriate action based on its determination.
  • Both the Complainant and the alleged harasser should be advised that each will be apprised of the results of the investigation and any action taken.
  • Instruct each witness interviewed not to discuss the matters covered during the interview with any co-employee or the alleged harasser. Have them sign the promise to not discuss details.
  • Explain to the witness that confidentially is necessary to protect the integrity of the investigation and to ensure that the Company receives trustworthy information in an atmosphere free from coercion.
  • If the Complainant asks that the complaint be kept confidential and that no action be taken, explain to the Complainant that the employer has a duty to proceed with an investigation. Further explain to the Complaint that all information will be disseminated on a “need to know” basis only.  If applicable, refer the Complainant to EAP or and ombudsman for a future questions or concerns that he or she wishes to raise anonymously.
  • Interview all possible witnesses:
    • Complainant
    • Alleged harasser.
    • Complainant’s supervisor.
    • Alleged harasser’s supervisor.
    • Co-workers.
    • Other: ________________________________________________________________________________________________________________
  • Review Complainant’s personnel file.
  • Review alleged harasser’s personnel file.
  • Discuss investigation results and proposed action with investigation team. This discussion should be limited to those with a need to know the results of the investigation, such as the Complainant’s supervisor, the alleged harasser’s supervisor, and appropriate Human Resources Department staff.
  • Consider credibility determinations. Factors include:
    • Memory
    • Demeanor
    • Truthfulness
    • Corroboration or lack of corroboration, and implications of such determination.
    • Bias of witnesses.
    • Consistency of accounts.
    • Prior misconduct or lack thereof, and implications of such misconduct.
  • No one factor is determinative. Do not assume that an allegation is false just because there are no eye-witnesses.  Also, do not assume an allegation is true just because the alleged harasser engaged in similar behavior in the past.
  • Review any documentary evidence.
  • Consider appropriate remedial action:
    • Document investigation in personal file.
    • Verbal warning.
    • Written warning.
    • Transfer or reassignment.
    • Reduction of wages.
    • Training or counseling of harasser to ensure that he or she understands why his or her conduct violated the anti-harassment policy.
    • Suspension
    • Demotion
    • Monitoring of harasser to ensure that harassment stops.
    • Termination
  • Factors in determining appropriate remedial action.
    • Credibility determinations.
    • Harasser’s prior conduct, if any; and overall employment record with company.
    • Harasser’s prior discipline.
    • Level and severity of harassment, including type and frequency of conduct.
    • Alleged harasser’s knowledge of Company rules and conduct.
    • Prior disciplinary “precedent” for identical or similar misconduct.
    • Public and employee relations considerations.
    • Was investigation term and procedure adequate?
  • Consider appropriate steps to correct the harassment’s effects:
    • Restoration of leave taken by Complainant because of the harassment.
    • Expungement of any negative evaluations in the Complainant’s personnel file that arose from the harassment.
    • Reinstatement of the Complainant.
    • Apology by the harasser.
    • Monitoring of Complainant’s treatment to ensure against retaliation.
    • Signs of retaliation.
    • Correction of any other harm (e.g. compensation for losses resulting from harassment).
  • Review harassment investigation and findings.
    • Was the Company harassment policy adequate.
    • Were the employees aware of the terms of harassment policy?
    • Was the harassment complaint procedure adequate?
    • Did the investigator uncover other issues which need to be addressed?
    • Was the investigation procedure adequate?
    • Implement changes to harassment policies and procedures where appropriate