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Investigating Claims of Harassment: A Step-by-Step “How To” Part 6: Closing the Investigation and Additional Steps Thereafter

This final installment of a six-part series on harassment investigations discusses how to close the investigation and steps to take after the investigation has been closed.  As always, bear in mind that each harassment investigation is different and must be tailored to fit the particular circumstances.

Close the Investigation

Once the investigation has concluded, it is essential to close the investigation with the complainant, each witness, and the accused.  It may also be prudent, in some circumstances, to follow-up with the entire workforce. All close-out meetings that are held should be documented. When closing the investigation with the complainant, and generally with each witness, here are the key points to tell each person:

  • We are closing our investigation based on the information as we know it now. (This allows you to reopen if you learn more later.)
  • The Company has a strong non-discrimination and non-harassment policy. (Consider providing or

Supreme Court Narrowly Construes the Definition of a Whistleblower Under Dodd-Frank

The Supreme Court held that an individual must report alleged wrongdoing to the Securities and Exchange Commission in order to qualify for protection from whistleblower retaliation under the Dodd-Frank Act.

Click here to read the Alert written by Bryan Cave attorneys on 2/21/18.

For more information about the SEC Whistleblower Program, click here. For more information about this update, or if you have any questions regarding Bryan Cave’s White Collar Defense and Investigations or Securities Litigation and Enforcement Groups, contact Mark Srere or Jennifer Mammen in Washington, D.C., at +1 202-508-6000, or for Bryan Cave’s Labor and Employment group, contact Elaine Koch or Jennifer Berhorst in Kansas City, MO, at +1 816-374-3200.

Investigating Claims of Harassment: A Step-by-Step “How To” Part 5: Other Sources of Evidence, Summarizing the Investigation, and Reaching a Conclusion

Before concluding a harassment investigation, the investigator should follow up with other possible sources of evidence, record and summarize the investigation, and reach a conclusion.  This fifth part of a six-part series discusses these final steps in the investigation process.  As always, bear in mind that each harassment investigation is different and must be tailored to fit the particular circumstances.

Follow Up With Other Possible Sources of Evidence

The investigator should consider whether any other sources of evidence exist that could aid in the investigation process and gather any such evidence. If the evidence is in the possession of either the complainant or the accused, the investigator should ask that the evidence be shared with him/her.

Some examples of physical evidence that may aid in the investigation process are:

  • Time cards
  • Calendars or diaries
  • Telephone records
  • Travel logs
  • Expense reports
  • Notes, letters, cards, and/or handwriting samples
  • Emails, voice mails,

Investigating Claims of Harassment: A Step-by-Step “How To” Part 4: Note-Taking Techniques and Tips for Assessing Witness Credibility

In any investigation of a harassment complaint, the investigator must interview people and take notes.  This fourth part of a six-part series addresses techniques for note-taking and tips for assessing the credibility of witnesses.  As always, bear in mind that each harassment investigation is different and must be tailored to fit the particular circumstances.

Helpful Witness Interview Note-Taking Techniques

Make sure that your notes are legible and that they are clear on who said and did what and which part of the story is according to whom.

Start a new page for each interview.

At the top of the page, state the names of those present at an interview, the date, time and place of the interview.  Sign (or initial) and date the notes.

Although it is not necessary to write in complete sentences, the notes should be free from misspellings or grammatical errors so that the interviewer is not

Investigating Claims of Harassment: A Step-by-Step “How To” Part 3: Interviewing the Accused and Other Witnesses

You have received a complaint of harassment and interviewed the complainant.  In this third part of a six-part series, we discuss interviewing the accused and other witnesses.  As always, bear in mind that each harassment investigation is different and must be tailored to fit the particular circumstances.

Interviewing the Accused

At the beginning of the meeting, the investigator should:

  • Explain that a complaint of sexual (racial, etc.) harassment has been brought against the accused; that the Company is conducting a prompt and thorough investigation to determine if inappropriate conduct has occurred; and that no conclusion has yet been reached.
  • Identify your role as investigator.
  • Tell the accused that the Company prohibits retaliation against a complainant, and anyone the accused suspects may have participated in any way in the investigation.
  • Explain that the accused must provide a truthful account of what occurred, and identify all evidence and witnesses who may

Investigating Claims of Harassment: A Step-by-Step “How To” Part 2: Interviewing the Complainant and Planning the Remainder of the Investigation

You have received a complaint of harassment.  What next?  In this second part of a six-part series, we focus on interviewing the complainant and planning the remainder of the investigation.  As always, bear in mind that each harassment investigation is different and must be tailored to fit the particular circumstances.

The interview of the complainant is usually the first and most important interview that will be conducted, and therefore, should be carefully planned beforehand. This interview, and all others, should be conducted in a private, neutral meeting space at your location. The following provides an illustration of the areas that should be covered by the investigator during the interview of the complainant.

At the beginning of the meeting, the investigator should:

  • Identify his/her role as investigator (i.e., you are a neutral conducting an investigation on behalf of the Company).
  • Ask the complainant whether he/she is comfortable with the investigator

Investigating Claims of Harassment: A Step-by-Step “How To” – Part 1: The Complaint

What if you were the Human Resources representative that received a complaint that Harvey Weinstein, Matt Lauer, Charlie Rose, or any of the other number of accused sexually harassed an employee?  What if you were the in-house counsel and received the complaint?  With the rise of sexual harassment allegations receiving increased scrutiny, employers need to have proper procedures in place for handling claims of sexual and other harassment in the workplace.

This is the first of a six-part series that will address guidelines and suggestions for conducting investigations of harassment complaints. Each harassment investigation, however, is different, and any investigation should be tailored to fit the particular circumstances.

What Complaint?

A harassment “complaint” need not be written, nor does a “complaint” have to actually be made to anyone. Most of the time, an employee brings a complaint forward to a supervisor or to Human Resources. However, there are times that

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