Disciplinary and Harassment Investigations

the findings of the investigation and attempt to gather any documents that could reasonably confirm or undermine the allegations or the response to the allegations.  Do other work that might be necessary to get all the facts (perhaps visit the work site, view videotapes, take pictures, etc.).  Reach a reasonable and fair conclusion based on the information collected, reviewed and analyzed during the investigation. (See http://bit.ly/2MXWIeB page 2) A. C REATE A B INDER Before the investigation begins, the investigator should create a binder to use in gathering, organizing and maintaining information throughout the investigation. At this preliminary stage, the binder should include a copy of the agency's policies and procedures on the conduct alleged, the written complaint or a written summary of the allegations, and any other information the investigator may have that is relevant to the investigation. This binder should be the investigator's primary tool throughout the investigation for maintaining information gathered during the investigation, such as notes of witness interviews and documentary evidence. After the investigation is completed, the investigator's findings and written report should be included in the binder. B. B ACKGROUND D OCUMENTS At the beginning of the investigation, the investigator should gather and review all relevant documents. The investigator should also keep a list of all of the documents he/she reviews. This list should be updated and kept in the binder, along with a copy of the documents. Relevant documents may include:



The complaint,

 Memoranda or notes of the complaint or alleged incident of harassment,

 The agency’s Anti- Discrimination, Harassment, and Retaliation, Policy, Complaint, and Investigation Procedure or other relevant policy, and



Any other relevant agency rules.

1. P ERSONNEL F ILES Documents in employees’ personnel files are another source of information the investigator may want to review as a part of the investigation. Information contained in personnel files, such as performance evaluations and disciplinary records, may assist the investigator in resolving issues of credibility. For example, if an employee has been previously disciplined or counseled regarding an incident reflecting the employee’s trustworthiness, his/her credibility in the investigation may be questionable.

Disciplinary and Harassment Investigations ©2020 (s) Liebert Cassidy Whitmore 28