Toolkit · Labor and Employment

The Workplace Investigation Toolkit

42 U.S.C. § 2000

Type
Toolkit
Jurisdiction
National
Date
2024-02-25
Topic
Labor and Employment

This toolkit contains the working documents of a workplace investigation. It supplies an anti-harassment policy skeleton, a complaint intake form, an interim measures memo, and a preservation notice. It contains interview outlines for the complainant, witnesses, and the respondent, a respondent notice that states the allegations fairly, and a credibility worksheet that forces the reasoning to be written down. It supplies a full investigation report template, a findings summary table, corrective action and outcome communications for both parties, and a retaliation follow-up script for the twelve months that follow. It closes with an employee complaint letter, an EEOC position statement outline, and an authority quick card. Each item notes the failure it prevents, and all should be adapted to the employer's policy and to state law.

The Workplace Investigation Toolkit

Labor and Employment > Harassment and Workplace Investigations | Published 25 February 2024 - Updated 25 February 2026 | UpLaw - uplaw.us

What Is In This Toolkit

Sixteen documents. Use them with the checklist for sequence, the guide for the standards, and the article for orientation.

⚠️ Everything here is discoverable. Notes, drafts, and the report will be produced if the employer asserts the adequacy of its investigation as a defense. Write accordingly.

Tool 1 — Anti-Harassment Policy Skeleton

[COMPANY] POLICY AGAINST HARASSMENT, DISCRIMINATION, AND RETALIATION

1. What is prohibited. [Company] prohibits harassment and discrimination based on race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, genetic information, [state categories], and any other protected characteristic. Prohibited conduct includes slurs, jokes, images, unwanted touching, sexual advances, requests for sexual favors, threats, intimidation, sabotage, and exclusion, whether in person, by message, or online. 2. Who is covered. Employees, applicants, interns, contractors, vendors, customers, and visitors — both as people who must not harass and as people who are protected. 3. Retaliation is separately prohibited. No one will be punished for reporting in good faith, for participating in an investigation, or for refusing to participate in prohibited conduct. Retaliation is itself grounds for discipline up to termination. 4. How to report. You may report to any of the following: your supervisor; [Name, title, email, phone]; [Name, title, email, phone]; or the confidential hotline at [number/URL], which accepts anonymous reports. You do not have to use your chain of command. 5. What happens next. We will acknowledge your report, take steps to prevent further conduct while we look into it, investigate promptly and impartially, and tell you when we have finished and whether we substantiated the allegations. Most investigations take [__] weeks. 6. Confidentiality. We will share information only with people who need it to investigate and act. We cannot promise complete confidentiality, and we will not ask you to keep the matter secret from your coworkers. 7. Managers. Any manager who learns of possible harassment must report it to [Name] the same day. Managers may not investigate on their own or promise confidentiality. 8. Questions. [Name, email, phone].

Tool 2 — Complaint Intake Form

Field Entry
Date and time of intake
Taken by
Complainant name, role, department, contact
Date employer first learned of the allegation, and through whom
Respondent(s) name, role, relationship to complainant
Does the respondent have authority to hire, fire, promote, or reassign the complainant?
Protected characteristic(s) implicated
Allegations (one row per incident: date, location, conduct, exact words, witnesses)
Effect on the complainant's work
Documents, messages, or recordings the complainant has
Witnesses named by the complainant
Prior reports by this complainant, or about this respondent
Immediate safety concerns
Interim measures requested
Complainant's stated desired outcome
What the complainant was told about process and confidentiality
Preservation instruction issued? To whom?

⭐ Row 4 is the most important field on the page. In litigation, the date the employer first knew determines whether the response was prompt.

Tool 3 — Interim Measures Memo

"CONFIDENTIAL — Interim measures pending investigation

Effective [date] and pending completion of an investigation, the following measures are in place. They are not disciplinary and imply no finding.

  1. [Respondent] will report to [alternate manager] for all matters involving [Complainant].
  2. [Respondent] will not contact [Complainant] directly regarding work or otherwise. Work matters will route through [alternate].
  3. [Respondent] will [work from [location] / be reassigned to [shift]] during the investigation.
  4. [Complainant]'s schedule, assignments, compensation, and location are unchanged.
  5. Any pending personnel action affecting [Complainant] is suspended pending review by [independent reviewer].
  6. Both parties are reminded that retaliation is prohibited and that no one may be disadvantaged for participating.

Questions: [Name]."

⚠️ Item 4 is the item that prevents a retaliation claim. Never solve a separation problem by moving the person who complained.

Tool 4 — Preservation Notice

"CONFIDENTIAL — Preservation instruction

[Company] is looking into a matter involving [general subject]. You must preserve all records relating to [subject and period], including email, Teams and Slack messages, text messages on any device used for work, documents, calendar entries, notes, photographs, and voicemail.

Do not delete anything. Turn off any automatic deletion or disappearing-message setting for these conversations. Do not edit, back-date, or reorganize existing material.

This instruction remains in effect until [Name] cancels it in writing. Questions to [Name]. See also our litigation hold practices."

Send the same day, and separately instruct IT to apply system-level holds and disable tenant-level auto-deletion for the relevant custodians.

Tool 5 — Investigation Plan

Matter: [] Investigator: [] Engaged by: [] Date: [] Privilege posture: [Ordinary-course business investigation, not privileged / Conducted at the direction of counsel for the purpose of legal advice] — decided [date] by [name].

Allegations in scope (one line each, numbered):

  1. On or about [date], [Respondent] [conduct] in the presence of [witnesses].
  2. …

Out of scope: [] Period: [] Standard of proof: preponderance of the evidence. Witnesses, in order: complainant → [names] → respondent → follow-up. Documents and data to collect before interviews: email and chat for [custodians, period]; schedules; assignment records; badge logs; security video [preserve by [date]]; personnel and discipline files; prior complaints about [Respondent]. Interim measures in place: [reference memo]. Target completion: [date]. Communications: complainant updated on [dates]; respondent notified on [date].

Tool 6 — Complainant Interview Outline

Open. "Thank you for coming in. I am [name] and I have been asked to look into what you reported. I am not making legal conclusions; I am finding facts. I will share information only with people who need it. I cannot promise complete confidentiality. Retaliation for reporting or participating is prohibited — tell me immediately if anything changes for you. Please tell me what happened, in your own words, from the beginning."

Then, per incident: When did this happen — date, day of week, time? Where exactly? Who else was present or nearby? What did [Respondent] say — as close to the exact words as you can? What did you say or do? What happened immediately afterward? Did you tell anyone? When, and what did you say? Is there any message, email, photo, or note about it?

Pattern. Has anything like this happened before? To your knowledge, to anyone else? Did you ever ask [Respondent] to stop? What happened?

Effect. How has this affected your work — assignments, hours, performance, willingness to attend meetings, health?

Reporting. Did you report earlier? To whom, when, and what happened?

Since. Has anything changed since you reported — schedule, assignments, how people treat you?

Close. "Who else should I talk to? Is there anything I have not asked that I should have? Here is my contact information; tell me immediately if anything changes."

Tool 7 — Witness Interview Outline

"I am looking into a workplace matter. I am going to ask what you personally saw or heard. Please tell me what you observed rather than what you concluded, and tell me if you are not sure. Retaliation against anyone for participating is prohibited."

Were you present on [date] at [place]? What did you see or hear? What were the exact words, as best you recall? Who else was there? What was the reaction? Have you observed anything similar involving [Respondent], at any time? Has anyone told you about anything similar? Has anyone asked you what you would say in this interview? Who else should I speak with? Do you have any messages, photos, or notes relating to this?

Tool 8 — Respondent Notice and Interview Outline

Notice (delivered before the interview): "You are asked to meet with [investigator] on [date] regarding allegations that on or about [dates] you [describe the conduct with enough specificity to permit a response]. This is a fact-finding process; no conclusions have been reached. You may bring [union representative, if applicable]. You are instructed not to contact [Complainant] or any witness about this matter. You are instructed to preserve all relevant records and not to delete anything. Retaliation is prohibited and will result in discipline independent of the outcome of this matter."

Interview: Describe your role and your working relationship with [Complainant]. Walk me through [date/event] from your perspective. [Then, allegation by allegation:] It has been reported that on [date] you [conduct]. What is your response? Did you say [words]? If not, what did you say? Who else was present? Is there anything — a message, a calendar entry, a document — that would help me understand what happened? Have you had any similar concern raised before? Is there anyone I should speak with? Is there anything else you want me to know?

Close: "Do not contact [Complainant] or the witnesses. Do not delete anything. If you think of something else, contact me."

Tool 9 — Credibility Worksheet

Complete one per contested allegation. Apply every factor to both parties.

Factor Complainant Respondent
Inherent plausibility given the setting and timeline
Level of peripheral, non-incriminating detail
Internal consistency across tellings
Consistency with documents, schedules, and messages
Direct corroboration
Corroboration of surrounding facts
Contemporaneous report to anyone
Motive to fabricate or to deny
Relevant prior record (substantiated complaints; prior fabrication)
Demeanor — use last, weigh least

Resolution and reasoning (write it out): ______________________

⚠️ Do not treat delayed reporting as evidence of fabrication. Do not infer anything from a calm denial or an emotional one.

Tool 10 — Investigation Report Template

CONFIDENTIAL INVESTIGATION REPORT Matter: [] Investigator: [] Date: [] Engaged by: []

I. Assignment and scope. Who engaged me, when, the allegations assigned, what was excluded, and the standard applied (preponderance). Findings are factual; I express no legal conclusion about whether any statute was violated. II. Methodology. Persons interviewed with dates; persons who declined or were unavailable and why; documents and data reviewed; limitations on the inquiry. III. Background. Reporting relationships and the timeline necessary to understand the findings. IV. Findings. For each numbered allegation: allegation; complainant's account; respondent's account; witness accounts; documentary evidence; finding (substantiated / not substantiated / inconclusive); reasoning. V. Credibility. For each conflict resolved, the basis, applied to both parties. VI. Summary table. Allegation | Finding | Key evidence. VII. Observations on systemic issues (if requested), kept separate from findings. VIII. Recommendations (only if requested), kept separable from findings.

Keep out: legal conclusions; speculation; editorializing; uncharged conduct outside scope; unnecessary medical or personal information.

Tool 11 — Corrective Action Memo

"CONFIDENTIAL — Personnel action

An investigation into allegations that [Respondent] [conduct] concluded on [date]. The investigator found that allegations [1, 3] were substantiated and allegation [2] was not.

Action taken: [final written warning / suspension of [n] days / removal of supervisory responsibility over [Complainant] / termination effective [date]].

Basis: the substantiated conduct violates [Policy §__]. Comparable conduct by [others] has been addressed by [action], and this action is consistent with that practice.

Also required: [Respondent] will [complete training by [date] / have no supervisory authority over [Complainant] / not contact [Complainant]].

Restoration: [Complainant]'s [account / assignment / schedule / territory] is restored effective [date].

Non-retaliation: any adverse action affecting [Complainant] or any witness for the next twelve months must be reviewed in advance by [independent reviewer].

Prepared by []. Approved by []."

Tool 12 — Outcome Letters

To the complainant: "Thank you for reporting your concerns on [date]. We have completed our investigation. We substantiated [some / all / none] of the allegations, and we have taken action we consider appropriate. For privacy reasons we do not share the specific discipline imposed. [Where applicable: [specific change relevant to the complainant, such as reporting line or assignment].] Retaliation for reporting or participating is prohibited. Please contact [name] immediately if you experience anything you believe is retaliation, or if the conduct recurs. I will check in with you in about 30 days."

To the respondent: "We have completed our investigation into the matter discussed with you on [date]. We found that [allegations] were substantiated. As a result, [action]. [Requirements going forward.] You may not contact [Complainant] or any witness about this matter, and retaliation against anyone who reported or participated is prohibited and will result in discipline independent of this outcome. [Where applicable: you may respond in writing for your file within [n] days.]"

⚠️ Telling the complainant nothing is the single most common reason a charge is filed in a case the employer would otherwise have won.

Tool 13 — Retaliation Follow-Up Script and Log

At 30 and 90 days: "I want to check in about the matter you reported. Has the conduct stopped? Has anything changed in your schedule, assignments, or how people treat you? Has anyone said anything to you about the investigation? Is there anything you want me to know?"

Date Contact Conduct stopped? Changes reported Action taken Notes

Adverse action review log — every discipline, reassignment, schedule change, or performance action affecting the complainant or any witness for twelve months:

Date Person Proposed action Documented pre-complaint basis Reviewed by (outside chain) Outcome

Tool 14 — Employee Complaint Letter

For an employee reporting. Short, factual, and in writing.

"Re: Report of harassment

I am reporting conduct I believe violates [Company]'s policy against harassment.

  1. On [date] at [place], [name] said [words] in front of [names].
  2. On [date] at [place], [name] [conduct].
  3. On [date], after I [declined/objected], [consequence].

I believe this conduct is because of my [protected characteristic]. It has affected my work by [effect].

[If applicable:] I previously raised this with [name] on [date] and [what happened].

I am asking that this be investigated under the policy. I have preserved [messages/notes] and can provide them. Witnesses include [names].

I understand that retaliation for making this report is prohibited. Please confirm receipt and let me know the next steps.

[Name, date]"

Keep a copy outside company systems. Note the deadlines: a charge under 42 U.S.C. § 2000e-5 is generally due within 180 or 300 days, and the internal process does not extend them.

Tool 15 — EEOC Position Statement Outline

I. Introduction. The employer, its size, and a one-paragraph statement of position. II. Relevant policies. The anti-harassment policy, reporting channels, distribution, and training — with attachments. III. Facts. The complainant's employment history; the events alleged; and what the investigation found, allegation by allegation. IV. The employer's response. Date first learned; interim measures; investigator and independence; interviews conducted; evidence reviewed; findings; corrective action; communication; follow-up. V. Legal framework. The Faragher and Ellerth affirmative defense where applicable; the Vance supervisor analysis; the negligence standard for coworker conduct; and the absence of a materially adverse action for any retaliation allegation under Burlington Northern. VI. Conclusion. Requested disposition.

⚠️ Everything asserted here must match the investigation file, which will be produced. A position statement that overstates the investigation is the most damaging document an employer can create.

Tool 16 — Authority Quick Card

Statutes: 42 U.S.C. § 2000e · § 2000e-2 · § 2000e-3 · § 2000e-5 · § 2000e-16 · § 1981 · § 1981a · § 12112 · § 12203 · 29 U.S.C. § 623 · § 633a · § 157 · § 794 Regulations: 29 C.F.R. part 1601 · part 1602 · part 1604 · part 1606 · part 1614 · part 1630 Cases: Meritor · Harris · Oncale · Faragher · Ellerth · Suders · Vance · Burlington Northern · Crawford · Breeden · Bostock · Muldrow · Fort Bend

Tool 17 — Complaint Register

One workbook, owned by one named person, for the whole organization.

# Date received How received Complainant (or anonymous) Respondent Basis alleged Date employer first knew Interim measures date Investigator Internal or external Interviews completed Date closed Findings Action taken Complainant notified 30-day follow-up 90-day follow-up Hold released

What the register is for. Three things a plaintiff's lawyer will ask and an employer usually cannot answer: how many complaints have been made about this respondent; how long complaints take to resolve; and whether comparable conduct has been treated consistently. An employer that can answer all three from a maintained register is in a materially different position from one that must reconstruct them from individual inboxes.

Review it quarterly for patterns: a respondent with multiple reports; a department producing complaints; investigations that took materially longer than the target; and findings substantiated but followed by minimal action.

Tool 18 — Manager One-Pager

Print this. It is the training that actually prevents institutional liability.

IF SOMEONE TELLS YOU SOMETHING

1. Listen. Do not investigate. Your job is to receive it and route it, not to determine whether it happened. 2. Do not promise to keep it between you. Say: "I have to report this, because that is my obligation and it protects you. Here is what happens next." 3. Report it the same day to [Name, contact]. This is required whether or not the person asks you to. 4. Write down what you were told — date, time, and the words used — and give it to [Name]. 5. Do not tell the person accused or anyone else. 6. Do not change anything about the reporter's job. Not the schedule, not the assignment, not the seating. If separation is needed, [Name] will arrange it. 7. Do not delete messages relating to the subject, and do not ask anyone else to. 8. Watch yourself for the next year. Any discipline or performance action involving the reporter must go through [Name] first.

The rule in one sentence: the moment you hear it, the company has heard it — so tell [Name] today.

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