Last week we discussed the proper way to gather the facts during the investigative process, working through chronological blocks of time when interviewing the witness. Once you have gathered the facts, immediately turn your notes into a typed witness statement, in a narrative format, making any necessary corrections and additions. Present the statement to the witness and have them sign and date it in the margin of each page, and the last page. Be sure to get the statement back from the witness.
Next, you should prepare a detailed investigative report. This report should include the details of how and when the complaint arose or the incident was discovered; the complaining party's version of events; the alleged harasser's version of events; and the witnesses' version of events. The report should next detail the employer's conclusions as to what happened and explain the basis for those conclusions. Likewise, if no conclusions can be reached, the reasons why that is so should be explained. It should also describe what, if any, corrective action should be taken based upon those conclusions.
Incidents of inappropriate, unwelcome, harassing behavior do not always require termination, and lesser discipline may be imposed. In determining what corrective action should be taken, the employer should consider the severity of the conduct; the prior history or record of the harasser; the ability of the employer to stop the harassment; and the ability of the remedy to deter future harassment by others. Lesser forms of corrective action include written warnings, counseling, demotion, reduction in pay or grade, transfer, or suspension.
Document what action was taken in each employee's personnel file. However, retain all records related to the investigation in a separate investigative file. Do not put it personnel files. Limit access to the file to those who have a business reason to see it, and treat the file confidentially to the maximum extent possible. Keeping the investigative file separate will lessen the employer's burden in the event of litigation which involves discovery.
Next week we will discuss ending the investigation and follow up with those involved.
