When an employee makes an allegation of sexual harassment in the workplace the company must act quickly to assess and investigate the complaint. This is one of the most difficult types of investigations, given the sensitive nature of sexual harassment, and a prompt, thorough and fair investigation is the only way to tackle the risk to the company, its employees and its reputation. Join Angela J. Reddock-Wright, employment attorney, mediator, arbitrator, investigator and trainer as she outlines the elements of a well conducted sexual harassment investigation that addresses the needs of the complainant, the subject of the complaint, the other employees and the company. The webinar will cover: Assessing the credibility of the complainant Outlining an investigation plan Gathering evidence Interviewing the complainant, witnesses and the subject of the complaint Best practices for communicating with parties to a sexual harassment investigation Following up with all parties Making recommendations

1. Best Practices for Conducting Sexual
Harassment Investigations
Angela J. Reddock-Wright, Esq.
The Reddock Law Group

2. Angela J. Reddock-Wright, Esq.
Angela J. Reddock-Wright is the Founding and Managing Attorney of the
Reddock Law Group, a boutique employment and labor law firm providing
mediation, arbitration, workplace investigation, workplace compliance training,
and expert witness services to clients. An employment and labor attorney for
over 20 years, and a former litigator, Reddock-Wright has represented clients in
all aspects of employment and labor law, including claims of wrongful
termination, harassment and discrimination.
Reddock-Wright is a member of the American Arbitration Association panel of
mediators and arbitrators, the Los Angeles Equity Oversight Panel, and is a
volunteer mediator with the United States District Court, Central District. She
also is an Instructor in the UCLA Extension human resources certification
program, and is a member of the Association of Workplace Investigators. She
also serves on the Board of Directors of the Southern California Mediation
Association, among other notable professional involvements. Reddock-Wright
is a graduate of Amherst College and UCLA School of Law, and obtained her
training as a mediator through the Strauss Institute at the Pepperdine University
School of Law.
© Angela Reddock-Wright

3. Goals and Objectives
• Review the key requirements of an effective
investigation
• Review recent statistics and information establishing
the need for better and more effective sexual
harassment investigations
• Review best practices for an effective sexual
harassment investigation
• To provide you practical tips and tools for conducting
your sexual harassment investigations
© Angela Reddock-Wright

4. Sexual Harassment in the Workplace
On the rise.
Not new.
Not going away anytime soon.
Having knowledgeable and trained investigators
is a must.
© Angela Reddock-Wright

5. Poll Question
How many sexual harassment complaints does your company receive?
© Angela Reddock-Wright

6. Fox News settles sexual
harassment for $20 million
Berkeley law school dean
who resigned over sexual
harassment allegations files
discrimination suit

7. EEOC Study of Harassment in the
Workplace
 January 2015 – EEOC created a Select Task Force to study
harassment in the workplace
 June 2016 – the Select Task Force released its report
 Task force comprised of 16 members from around the U.S.,
including legal practitioners, employers and employee advocacy
groups, and organized labor.
 Study can be found at:
https://www.eeoc/gov/eeoc/task_force/harassment/report.cfm
© Angela Reddock-Wright

8. EEOC Study Findings
 Workplace Harassment Remains a Persistent Problem
 In 2015, a total of 90,000 charges were filed with the EEOC
 @1/3/28,000 of these charges were harassment charges
 Among claims filed against private employers, approximately 45% of the
charges filed were based on sex
 Only 7% among federal government employees
 In 2016, the EEOC received 12,860 charges based on sex-based
harassment
 16.6% of these complaints were by male employees
© Angela Reddock-Wright

9. EEOC Study Findings (cont . . .)
 Workplace harassment too often goes unreported.
 There is a compelling business case for stopping and preventing
harassment.
 It starts at the TOP – leadership and accountability at all levels are
critical.
 Preventive workplace trainings must continue, but the trainings
need to be re-evaluated and made more effective.
© Angela Reddock-Wright

10. EEOC Study Findings (cont . . .)
Employee Responses to Harassment
 Many employees do not file complaints or seek legal relief
 Rather:
 33-75% of employees avoid the alleged harasser
 54-73% of employees downplay the gravity of the alleged
harassment
 44-70% pf employees attempt to ignore, forget, or endure the
alleged misconduct
 27-37% of women turn to family members, friends, and
colleagues
© Angela Reddock-Wright

11. EEOC Study Findings (cont . . .)
The least common response of either men
or women to harassment is to take some
formal action – either reporting the
harassment internally or file a formal
legal complaint.
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12. EEOC Study Findings (cont . . .)
 Only 30% of individuals who experienced harassment talked with a
supervisor, manager, or union representative about the alleged
misconduct.
 Gender-harassing conduct almost never was reported.
 Unwanted physical touching is formally reported 8% of the time.
 Sexually coercive behavior was reported by only 30% of women who
experienced such conduct.
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13. Poll Question
Does your company conduct training in conducting sexual harassment
investigations?
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14. What Does this Mean for Investigators?
In many instances, by the time a person reports harassment:
 they have thought long and hard about it
 they possibly have experienced substantial emotional, mental and
other distress
 they are fearful to report the alleged misconduct
 they are concerned about possible retaliation
 they may or may not have a clear memory of the alleged misconduct
 they may be under the care of a health care professional
 they may have consulted with legal counsel
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15. EEOC Recommendations
 Strong Anti-Harassment Policies
 Zero Tolerance Policies and Application
 Clear Reporting Systems for Harassment, Investigations &
Corrective Actions
 Effective Anti-Harassment Training
 Workplace Civility & Bystander Intervention Training
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16. EEOC Recommendations: Anti-
Harassment Policies
 A clear explanation of prohibited conduct, including examples
 Assurance of no retaliation
 A clearly described complaint process that provides multiple,
accessible avenues of complaint
 Assurance that the employer will protect the confidentiality of
harassment complaints to the extent possible
 A complaint process that provides for a prompt, thorough, and
impartial investigation; and
 Assurance that the employer will take immediate and proportionate
corrective action when it determines that harassment has occurred.
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17. EEOC Recommendations:
Investigations
 Employers should devote sufficient resources to investigations
 Ensure investigations are prompt, objective, and thorough
 Keep the investigation as confidential as possible
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18. Conducting Sexual Harassment
Investigations
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19. Upon Receipt of the Complaint
 Is the complaint oral or in writing?
 If oral, try documenting in your own words the complaint and
any facts or information known at the time.
 If in writing, review the complaint noting the following:
 Name of the complainant
 Name of the respondent
 Any witnesses identified
 Date filed
 Any issues raised related to the safety of the complainant or any witnesses
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20. Notification to the Parties
 Notification to the Complainant
 Receipt of complaint
 Complaint is taken seriously
 Will commence an immediate investigation
 Protected by policies against retaliation
 Notification to the Respondent
 Receipt of complaint making allegations against the complainant
 Due Process: will have an opportunity to respond; ensure fairness
 Duty not to retaliate against complainant or any individuals involved
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21. Preliminary Questions/Issues
 Do the parties need to be separated? Can they continue to work
together in the same work area or location?
 Does any evidence need to be preserved? For example, text
messages, social media posts, photos?
 Do any managers or supervisors need to be placed on notice of the
complaint?
 For purposes of ensuring no retaliation against the complainant
or any witnesses
 And to help manage confidentiality and any rumors or other
matters related to the investigation.
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22. Organizing the Investigation
 Create a preliminary investigation outline/plan:
 What is the complaint? What are the issues to be investigated?
 Who should be interviewed?
 The Complainant
 The Respondent
 Relevant witnesses identified by complainant and respondent
 Other relevant witnesses determined by the investigator
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23. Organizing the Investigation
(cont . . .)
 What documents/physical evidence are needed?
 The complaint, if written
 Possibly either the complainant’s or respondent’s personnel files
 History of other complaints by the complainant and/or against
the respondent
 Emails, text message, chat, messenger, and other
correspondence between the complainant, respondent, or
relevant witnesses
 Social media posts
 Photos
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24. Organizing the Investigation
(cont . . .)
 What company/organization policies possibly are at issue?
 Anti-Discrimination & Harassment Policy
 Reporting & Investigation Policy (if separate from the anti-
discrimination and harassment policy)
 Social Media Policy
 Workplace Bullying Policy
 General Decorum/Workplace Standards & Expectations Policy
(ies)
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25. Organizing the Investigation
(cont . . .)
 Timelines?
 When must the investigation be completed?
 Are there any special timelines?
 Any vacation or leave considerations?
 Logistics
 Where will you conduct witness interviews? By telephone or any
person? Ensure privacy.
 Who is the primary contact for the investigation? Who will the final
report go to?
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26. What Type of Sexual Harassment
Claim Are You Investigating?
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27. Sexual Harassment: Two Types
Quid Pro Quo Harassment – “This for That”
 When a person in authority, such as a manager or supervisor
 Makes an unwelcome sexual advance or request for a sexual favor to an employee
 And the employee’s submission to or rejection of the advance is a condition of employment.
Hostile Work Environment:
 Conduct of a sexual nature that is
 Severe and pervasive
 Interferes with a person’s work environment or performance
 Can take place between co-workers, employees and supervisors, contractors,
suppliers, vendors, etc.
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28. Third Party Sexual Harassment (Sexual Favoritism)
Third party sexual harassment is:
Widespread favoritism shown by a manager or supervisor
That is based on sexual favors provided by an employee to a manager/supervisors
Where a 3rd
party employee is not directly involved in the sexual conduct, but believes
there may be favoritism or special treatment towards the employee(s) providing the
sexual favors or conduct.
Example: A manager who has a romantic relationship with an employee at work and
displays that relationship at work, can cause other employees to believe that the
employee the manager is involved with is getting special treatment or favoritism.
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29. Common Examples of Sexual Harassment
 Unwanted sexual advances
 Example: Asking someone out repeatedly for a date when they are not
interested.
 Offering an employment benefit in exchange for sexual favors
 Example: I will ensure you get that promotion if you sleep with me.
 Visual conduct such as leering, making sexual gestures, displaying
suggestively suggestive objects, or pictures, cartoons or posters
 Sending sexually-related text messages, videos or messages via
social media
 Example: A text message that says, “Hey, I think you are hot.”
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30. Common Examples of Sexual Harassment (cont .
. .)
 Verbal abuse of a sexual nature
 Example: Making the comment “Women can’t do anything right!”
 Physical conduct such as touching, assault, impeding or blocking
movement.
 Example: Blocking the door to the break room.
 Verbal abuse concerning a person’s physical characteristics
 Example: Making a comment such as “Hey, you have big hands/feet – we
know what that means!”
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31. Common Examples of Sexual Harassment (cont .
. .)
 Jokes, whether written, verbal or electronic
 Example: The latest sex or racial joke may be funny, but not appropriate for
the workplace.
 Threats, intimidation, and other menacing behavior
 Example: “Do what I say, or else you will have to pay!”
 Jokes, whether written, verbal or electronic
 Example: The latest sex or racial joke may be funny, but not
appropriate for the workplace.
 Threats, intimidation, and other menacing behavior
 Example: “Do what I say, or else you will have to pay!”
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32. Not Your Mother’s Sexual Harassment
Anymore
Remember, claims of sexual harassment can be based on:
 Traditional male vs female
 Same sex
 Transgender and other gender related claims
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33. California Law: The Various Forms of
Sex/Gender Discrimination
 Sex vs. Gender vs. Gender Identity vs. Gender Expression vs. Sexual
Orientation
 Sex – how a person is born – their biological status
 Gender – behavior that is consistent with traditional cultural norms
of how a person of a certain gender acts – (i.e. so a person who is
female, may exhibit the characteristics of a person who is male and
choose to identify their gender as male)
 Gender Identity – How a person chooses to identify themselves (see
example above)
 Gender Expression – how a person chooses to express their gender
(i.e. in terms of how they dress, speak, act, etc.)
 Sexual Orientation – a person’s relationship choices (i.e.
heterosexual, bi-sexual, homosexual)
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34. Fact Findings vs. Legal Findings
Remember:
 Your role is that of a neutral fact finder.
 Your role is to make factual vs. legal findings.
 You will decide whether, based on a preponderance of the evidence
standard, the conduct alleged more likely occurred than not.
 CAUTION: You are not making legal findings – the prior
slides give you context for understanding the basic types
of sexual harassment claims under U.S. federal, and most
state laws. Ultimately, you should rely on your company
or organization’s internal policies and the law and
standards applicable in your jurisdiction.
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35. Poll Question
Do you have more than one person in the room when interviewing
complainants?
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36. Interviewing the Complainant
 Make contact with the complainant prior to the interview to
introduce yourself and to ensure the complainant that you and the
company/organization take the complaint seriously and will take all
steps to ensure a thorough and fair investigation.
 Ensure a private telephone line and/or confidential and private
location for the interview.
 At the beginning of the interview, introduce yourself, explain your
role, the process and expected timing of the investigation.
 Ensure confidentiality to the extent possible and no retaliation.
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37. Sample Statement Regarding Confidentiality
I am a neutral fact finder. I will ensure confidentiality to the extent possible and
I will ask every witness I meet with to keep the investigation confidential to
ensure integrity in the process.
Because my role as the investigator is to fully investigate and understand all
facts relevant to your complaint, I cannot ensure 100% confidentiality.
However, I will ensure I do not disclose any information to any person who
does not have the right to know information related to your complaint, and I
will only disclose information as necessary.
Ultimately, I will provide a written report of the investigation and my findings.
That report will be kept confidential by human
resources/attorneys/executives charged with determining the next steps
following the completion of my investigation.
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38. Interviewing the Complainant
(cont . . .)
 Be sensitive to the complainant and any emotions the complainant
may feel as a result of the alleged misconduct and/or the
investigation process.
 Although a sensitive situation, do not be afraid to ask the
complainant questions regarding the details of the allegations, even
if the details are potentially vulgar or offensive.
 Ask the complainant for copies of any relevant documents and
information, including text messages, emails, social media posts,
photographs.
 Ask the complainant if there are any other witnesses to the
allegations.
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39. Interviewing the Respondent
 Extend the same level of due process and courtesies to the respondent (i.e.
prior conversation, interview location, assurances of a fair process)
 Adopt the principal of “innocent until proven guilty.”
 Ask the respondent tough questions. Do not allow respondent to bully or
to deflect. Assure the person that you know these are tough questions but
you have a duty to get to the heart of the matter as the investigator.
 Ask the complainant for copies of any relevant documents and information,
including text messages, emails, social media posts, photographs.
 Ask the complainant if there are any other witnesses to the allegations.
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40. Interviewing Witnesses
 Ensure the same courtesies and comforts extended to the
complainant and respondent
 Advise the witness of the need to keep the investigation
confidential and the duty not to retaliate if they are in a position of
authority
 Your questioning should hone in on the details of what the witness
knows or may know, or witnessed or may have witnessed (or not)
 Ask the witness if he or she is aware of any ulterior motivations that
the complainant or respondent may have
 Ask the witness for names of other potential witnesses
 Ask the witness for any documents or information he or she may
have relevant to the investigation
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41. Poll Question
Do you use social media in your investigations?
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42. Determining Witness Credibility
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How do you know if a witness is credible? (See EEOC Guidance at
www.eeoc.gov)
If there are conflicting versions of the events, consider the following:
• Plausibility – Is the witness’s version of the facts believable? Does it
make sense?
• Demeanor – Does the witness seem to be telling the truth?
• Motive – Does the person have a reason to lie?
• Corroboration – Are there documents or other witnesses that support
the witness’s version of the events?
• Past Record - Does the alleged wrongdoer have a past record of
inappropriate conduct?
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43. Is the Investigation Done?
 Do you have a clear understanding of the allegations of the
complaint and the issues of the investigation?
 Have you interviewed the complainant, respondent, and all relevant
witnesses?
 Have you obtained copies of all relevant documents and
information?
 Have you identified clearly which policies are at issue?
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44. Preparing to Write the Investigation
Report
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The final documents of the investigation should include:
• The complaint and any rebuttal
• All drafts and final copies of your handwritten, typewritten and/or
recorded witness interviews and any related notes and
documents
• All documents and evidence provided to you during the
investigation (noting that which supports, refutes or has no
bearing on your final conclusion)
• Copies of any relevant policies
• Documentation regarding any discrepancies in the investigation
(e.g. witnesses that were not interviewed and the reasons why,
any documents or other evidence not included in the final
investigation report)
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45. Reaching A Final Conclusion
What factors should you consider
in reaching a final conclusion to
the investigation?
• The strength of statements provided
by the complainant and the alleged
wrongdoer
• Corroborating and/or rebuttal
statements and information provided
by third-party witnesses
• Disputed vs. Undisputed Facts –
make a list
• The credibility of the complainant, the
alleged wrongdoer and third-party
witnesses
• Prior history of wrongdoing by the
alleged wrongdoer
• The company’s relevant policies and
practices
• The seriousness of the allegation
• Will this case set a certain precedent?
Is that a precedent the company wants
to set?
• Reaching conclusions based on
objective facts and evidence and not
opinion, rumor speculation or purely “he
said-she said” scenarios
• Was the investigation thorough and
objective?
REACH A CONCLUSION, UNLESS
DIRECTED OTHERWISE
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46. Are You Ready to Write the Report?
• If you were to review
the investigation from
the point of view of
another person would
you consider the
investigation complete?
• Is follow-up information
needed?
• If you were the manager
charged with
making the final decision
resulting from the
outcome of the
investigation, would you
consider the investigation
complete?
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47. Now You Are Ready: Organizing the
Investigation Report
47
Once you have completed the investigation, outline your investigation report
based on the following:
– Key Allegations
– For each allegation, list the following:
• Corroborating and/or rebuttal statements and information provided by
witnesses
• Disputed and undisputed facts related to the allegations
• The credibility of the complainant, the alleged wrongdoer, and any
witnesses relating to the allegation
• What documents and other evidence support or dispute the allegation
• Any relevant policies that apply to the allegation
• Your conclusion for each allegation 47

48. Sample Investigation Report Organizer
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49. Suggested Investigation Report Format
• Cover Page
• Table of Contents (including a list of witnesses interviewed)
• Table of Exhibits
• Introduction
• Executive Summary
• Detailed Summary of Exhibits
• Detailed Listing of Witnesses
• Witness Interview Summaries
• Factual Analysis, Including Credibility Assessments
• Findings & Conclusions
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50. Thank you for your time and attention today!
May you have many successful investigations
going forward.
Angela J. Reddock-Wright, Esq.
The Reddock Law Group
www.reddocklaw.com
(213) 996-8474; angela@reddocklaw.com
Contact us at i-Sight
j.gerard@i-sight.com
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