- Prepare an outline of questions to ask.
- Maintain a professional demeanor.
- Determine the extent of personal, as opposed to hearsay, knowledge.
- Ask open-ended questions rather than leading questions. For example, do not ask the leading question, “Did he tell offensive jokes?”; instead, ask the open-ended question, “What did he say?”
- Ask follow-up questions to ensure sufficient detail is gained from the interview.
- Ask for supporting evidence (i.e., photos, emails, calendar entries).
- Note whether a witness refuses to review or sign a written statement and reasons given for refusal.
- Consider sending witness a follow-up “thank you” letter stating that the employer intends to maintain privacy and enforce its anti-harassment policy, which simultaneously creates a documented record of the employer’s intent.
- Intimidate witnesses.
- Promise absolute confidentiality. Witnesses should not be told that their statements will be kept off the record because complete confidentiality can never be assured and a written record of the recollection of witnesses may be essential in any resulting proceedings.
- Ask leading questions, because leading questions do not allow the witness to provide their own facts. Rather, the interviewer should ask open-ended questions, such as, “How did you respond to his statement?”; not, “Did you tell him that his statement made you uncomfortable?”
- The company takes reports of wrongdoing seriously and will investigate thoroughly.
- Confidentiality will be observed to the extent practical to protect everyone’s privacy.
- Retaliation for making a report of misconduct or harassment is forbidden by the company.
- The complainant must immediately advise the investigator or human resources (or any other alternative) of any perceived retaliation or of further incidents of misconduct or harassment.
- Be sensitive to the issues being raised.
- Get a description of each incident, including date, time, place, and nature of conduct.
- Identify any witnesses to the alleged incident(s).
- Identify any other persons who may claim to have been harassed.
- Ask whether there is any documentation that constitutes or records the harassment.
- Ask whether the complainant has discussed the incident with anyone else.
- Determine and record limits, if any, of the complainant’s cooperativeness.
- Determine the complainant’s reason for delay, if any, in reporting the alleged harassment.
- Consider asking what the complainant would like to see done to ensure that problem does not recur.
- Determine if the conduct has any effect on the complainant, but do not suggest any effects such as emotional damage, trouble sleeping, or other effect.
- Explore need for any interim action while the investigation is pending.
- Consider whether to prepare and ask (not demand) the complainant to review, correct, and sign a written account of the allegations after the interview, bearing in mind that asking for statements can be risky and can backfire. (Make a note if the complainant refuses to review or sign a written statement and the reason(s) given for refusal.)
- Consider whether to document procedural aspects of initial interview to make record of employer’s policy, concerns, and commitment to follow through.
- Provide the complainant with a record of the interview upon request.
- The purpose of meeting is to ask about allegations of workplace conduct.
- Prior to the meeting, no conclusions have been reached.
- The interview is the alleged wrongdoer’s opportunity to provide their version of the facts at issue.
- Full, truthful cooperation is expected of everyone involved in the investigation.
- The alleged wrongdoer is prohibited from interfering with the investigation (for example, by talking with other employees about the allegations or the subject matter of the complaint).
- Any retaliation is forbidden, regardless of whether the allegations under investigation are proven false. Alleged wrongdoers should be informed that all types of retaliation are forbidden, including the following:
- Demoting, transferring, or dismissing the complainant or any employee involved in the investigation.
- Providing negative evaluations of the complainant or any employee involved in the investigation.
- Verbal misconduct.
- Denial of overtime or any other job benefit to the complainant or any employee involved in the investigation.
- Rebuking or rebuffing the complainant or any employee involved in the investigation.
- Begin with general description of allegations and ask open-ended questions to obtain narrative responses.
- Identify each alleged improper statement or action in detail and allow the alleged wrongdoer the opportunity to respond to each incident.
- Explore any working and personal relationship between complainant and alleged harasser.
- Identify the relationship of the alleged wrongdoer to the complainant, for example, whether the alleged wrongdoer is an agent of the company, a supervisory employee, a co-worker, or a non-employee.
- Ascertain the extent and nature of the interactions the alleged wrongdoer had with the alleged victim. For example, determine whether:
- Gifts, cards, or notes have been exchanged.
- There has been a dating, sexual, social, or working relationship.
- The complainant initiated or participated in any sexual discussions, jokes, or gestures.
- The complainant ever indicated any displeasure with anything the alleged wrongdoer said or did, or whether the complainant asked the alleged wrongdoer to end such behavior.
- Inquire about behavior of complainant and alleged wrongdoer during time surrounding the alleged incident(s).
- Inquire about any other potential witnesses.
- Explore any reasons the complainant may have to be untruthful, for example, a soured romance, work disappointment, job performance, or personal problems outside work.
- Provide the alleged wrongdoer with an opportunity to provide alibis or mitigating circumstances.
- Consider whether to ask for written responses to the allegations.
- Note if alleged wrongdoer refuses to provide or sign a written statement and reasons given for refusal.
- Consider whether to document the initial interview in order to make a record of employer’s advisory against retaliation and other aspects of employer’s desire to be fair and preserve privacy while taking complaints of harassment seriously.
- The purpose of the interview is to investigate a complaint of misconduct.
- Full, truthful cooperation is expected of everyone involved in the investigation.
- There will be no retaliation for cooperating in the investigation.
- The witness has the right and duty to report any perceived retaliation.
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