Investigating The Complaint
The investigation may involve interviews with the complainant, the alleged harasser and witnesses.
1. General Suggestions for Conducting Interviews
a. You should be sensitive to gender issues in the investigative process. For example, male administrators may wish to offer a female complainant the option of having a female or male interviewer or having a woman present during the interview. The same principle applies if the complainant is male and the administrator is female.
b. Before conducting any interviews, plan a list of questions about key points in the complaint that need to be covered in the interviews.
c. It is recommended that you make notes during the conversation or immediately after to assure accuracy. Keep these notes in a separate file, not in anyone's personnel file.
d. Don't voice opinions, make assumptions, or reach conclusions until the investigation is completed.
e. Don't promise anything or guarantee any particular results.
f. Don't ask leading questions or multiple choice questions.
g. Don't guarantee confidentiality (you can't resolve the complaint if you can't talk to anyone about it).
h. Review briefly with the person being interviewed what he/she has told you.
2. The Complainant Interview
a. Your demeanor should be open, concerned and non-judgmental. Be ready to listen and take the report seriously.
b. Keep in mind that the person is under stress and possibly afraid of retaliation. The person should be assured that retaliation, whether directed against the complainant or against co-workers, will not be tolerated. Assure the complainant that only those who have "a need to know" will be told anything. Who must be told is decided on a case by case basis and generally includes line officers and witnesses, to the extent necessary to get their information.
c. Find out what happened. In particular, ask the complainant:
- When and where did the behavior occur?
- Who was involved? What can you tell me about this person (description, employment, name, phone number, etc.)?
- Were there any witnesses?
- Did you talk with anyone about what happened?
- Has something like this happened before?
- How long has this been going on? Do you keep a journal or any other record where you wrote about what happened?
- What was the effect of this behavior on you?
- Did you indicate that the behavior was unwelcome? How?
- What was that person's reaction to what you said or did?
- What do you want as the outcome?
d. If you believe there is a need to consult with witnesses, you should ask the complainant for the names, addresses and phone numbers of people who are knowledgeable about the situation. You, not the complainant, should contact the potential witnesses to request interviews.
e. At the end of the interview, tell the complainant that you will be in touch and state a period of time in which an update on the process will be given. Stress that the complainant should feel free to ask questions about the progress of the investigation, or to add information to her/his complaint.
f. The complainant has the right to seek other kinds of assistance. Tell the complainant about the Office of Affirmative Action and the FSAP (for faculty and staff) or Counseling Center (for students). Be sure the complainant has a copy of the University's Sexual Harassment Policy and FSAP or Counseling Center brochures or arrange to have them sent.
g. After the complainant leaves,
- Do not breach privacy by talking about the incident to colleagues.
- Complete your notes, keeping them factual and resisting the temptation to editorialize.
3. The Alleged Harasser Interview
a. Use tact in announcing the reason for talking to the alleged harasser. The person should be told there is a serious matter to discuss.
b. Reassure the person of due process. He/she may be under stress. Again, your demeanor should be open, concerned and non-judgmental. Inform her/him of the allegations.
c. Ask for the person's account of the situation.
d. Follow a pattern similar to the interview with the complainant, remembering to gather facts and not make judgments. Make sure to include the following statements during the initial interview:
- That retaliation is forbidden and may cause additional charges against the alleged harasser.
- That the complainant will be informed about the alleged harasser's verbal account, or will see a written one.
e. Provide the alleged harasser with materials, such as brochures on Sexual Harassment, Office of Affirmative Action, and the Faculty & Staff Assistance Program or Counseling Center.
f. Ask the alleged harasser for the names of witnesses and other knowledgeable people. The alleged harasser does not have the right to confront the complainant directly, or to know what persons are interviewed about the complaint, or to be present at interviews. You, not the alleged harasser, should contact the potential witnesses.
g. If additional allegations are made during the investigation, or other pertinent information is discovered, you should inform the alleged harasser and give her/him a chance to respond, following the format of the original investigation.
4. Interviewing Witnesses
In the interview with a witness:
a. Indicate that a complaint has been made and give only the details necessary to ask the witness questions.
b. State the University's policy on sexual harassment and retaliation. Provide the brochures on sexual harassment.
c. Stress importance of cooperation.
d. Do not guarantee confidentiality.
e. Get details. Get the witness to be as specific as possible. Questions might include:
- In what capacity do you know the complainant and the alleged harasser?
- What personal knowledge do you have of the situation being investigated and when were you first aware of it?
- Did you ever speak to the complainant or alleged harasser about it?
- Did you speak to anyone about it? Did you report it to anyone in authority?
- Are you aware of any prior incidents or complaints which may be relevant to this complaint?
- Are there other people who should be interviewed about this complaint?
f. Thank the person for cooperating in the investigation.