Employee investigation form to assist in consistency in interviewing an employee making a compliant regarding misconduct. @HR2CEO

1. Internal InvestigationComplainant InterviewForm
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Interviewing the Complainant
Here are the steps to follow when you are interviewing the Complainant:
1. Find an appropriate place that ensures confidentiality to hear the complaint. Remain
objective; listen with an open mind. Include a witness to the statement if possible.
2. Ensure that the Complainant is comfortable with having you handle the inquiry.
3. Advise the Complainant of the need for confidentiality and its limitations — THE
COMPANY -initiated investigation will be handled on a need-to-know basis; however, if
information is learned that personnel action or legal action is required, there is a
potential that disclosure of this information may occur in the process.
Discuss your responsibilities in handling the complaint, and of the levels of the
investigations findings:
4. Based on the investigation, THE COMPANY investigator(s) should determine whether
the allegation(s) were founded, unfounded or inconclusive. This determination should
be documented in writing and made part of the investigative report. The determinations
are as follows:
A. Violation found. Where a violation of THE COMPANY policies, workplace rules or
law is found to have occurred, the accused should be notified of the finding and
of the specific or corrective actions to be taken. The accused employee’s
supervisor will also be notified if appropriate. No details about the nature or
extent of disciplinary or corrective actions will be disclosed to the complainant(s)
or witness(es) unless there is a compelling reason to do so (e.g., personal safety).
B. No violation found. In this situation, the complainant and the accused should be
notified that THE COMPANY investigated the allegation(s) and found that the
evidence did not support the claim.
C. Inconclusive investigation. In some cases, the evidence may not conclusively
indicate whether the allegation(s) was founded or unfounded. If such a situation
occurs, the notification to the complainant and the accused should state that
THE COMPANY completed a thorough investigation but has been unable to
establish the truth or falsity of the allegation(s). THE COMPANY will take
appropriate steps to ensure that the persons involved understand the
requirements of THE COMPANY’s policies and applicable law, and that THE
COMPANY will monitor the situation to ensure compliance in the future.
5. Advise the Complainant that THE COMPANY prohibits retaliation including making
threatening communication by verbal, written or electronic means against any
individual who reports or provides any information concerning unlawful discrimination,
harassment or other violations of company policies, rules and standards of conduct. Any
employee found to be engaging in retaliation will be subject to disciplinary action up to
and including termination. If such actions occur they should contact you immediately.
6. Listen carefully and empathetically, repeating what you hear if necessary for
clarification. Take detailed notes of the facts (e.g., who, what, when, where, why, and

2. Internal InvestigationComplainant InterviewForm
www.people1stguy.com
how). Utilize the Employee Discrimination & Harassment Complaint Form to
document answers. Ensure you get the following information.
Get the specific details, for example:
A. Identity of the person(s) against whom the allegations are being made
B. The relationship to the Complainant (i.e., supervisor, coworker, vendor)
C. A detailed description of the alleged conduct, the incident dates and places.
D. Determine the time period over which the conduct occurred. (Determine the
time between the conduct and the reporting of the incident(s)).
E. Frequency of occurrence. (For example, is this an isolated event or one of a
pattern of similar events?)
F. Identity of anyone who may have observed the incident(s) that occurred?
G. Identity of anyone which the Complainant has observed experiencing the same
or similar situation.
H. Ask for the Complainant’s reaction to the behavior at issue .Did he or she ask the
Accused to stop? If not, determine, in a non-accusatory manner, why not.
I. Did the Complainant indicate in any other way that he or she objected to the
conduct?
J. Get information on the effect of this conduct on the Complainant .Try to discern
whether the person suffered any adverse employment action, economic harm,
or both.
K. Ask if the Complainant has taken notes, has received letters, saved e-mails or
otherwise documented the incident and request copies.
L. Ask if the Complainant’s feels safe in their current position. Can the Complainant
continue to work effectively with the Accused? (Note: Consider whether the
Accused should be moved.)
M. Ask how they would like the complaint to be resolved. Ask for specifics.
(Remember be empathically but not judgmental.)
Advise the Complainant that you will follow up with them and that they should also follow up
with you in regards:
 Advise him or her of the progress of the investigation.
 Ensure that the harassment has not resumed.
 Ensure that the Complainant has not suffered retaliation.
 Note: Confidentiality is important to prevent libel, slander, or invasion of
privacy claims.
Thank the Complainant for making the report and invite him or her to come back if he or she
has more facts to add.

3. Internal InvestigationComplainant InterviewForm
www.people1stguy.com
Notes to investigator:
 Request a written statement either before or after you act. However, do not insist on a
written statement if the Complainant refuses to document the incident. If the
complainant feels uncomfortable or unable to document ask them to review and sign
your notes for accuracy. Have the witness (if available) also sign notes.
 Realize that another person’s report is enough to start the inquiry. Do not insist that the
Complainant personally report the allegation of harassment before you act.
 Do not insist on corroboration or detailed evidence. While it is certainly helpful, its
absence should not halt the investigation or your continued action.
 Show empathy and do not pass judgment on the allegations presented.
 If you believe the person could benefit from counseling, suggest a referral to the EAP to
provide employees with emotional support.
 If it is a possible criminal action, consult with General Counsel immediately to
coordinate appropriate action with local or federal law enforcement agencies.
 Send your written report to the Employee Relations Manager.
 Remember all agents of THE COMPANY must document all serious and recurring cases
of alleged harassment or inappropriate actions, including corrective actions taken.