A written harassment investigation checklist can help employers prevent harassment in the workplace by following a consistent process under federal anti-discrimination law and applicable state requirements. A checklist also helps organizations keep a clear investigation record that follows its written harassment policy if a complaint later turns into an EEOC charge or a lawsuit.
Intake And Initial Risk Review
Intake Notes
When an employer receives a harassment complaint, the company should immediately create a written record that captures the allegation in the reporting employee’s own words. Intake notes capture the first report before follow-up questions alter the account or blur what the reporting employee originally said. Intake notes also establish the date the complaint reached the company and define what the employer knew at that moment, which later influences how an agency or court evaluates the speed and adequacy of the employer’s response.
At intake, the employer should clarify:
- The name of the accused employee.
- What the reporting employee says the accused did, in the reporting employee’s own words.
- When and where the conduct occurred.
- Whether anyone witnessed the conduct.
- Whether the reporting employee has any messages or photographs that support the allegation.
- Whether the reporting employee feels safe continuing to work under current supervision.
Assessing Risk and Investigation Needs
After creating the intake record, the employer should assess whether the identity of the employee accused of harassment or the nature of the allegation impacts how the investigation should proceed.
If the accused employee supervises the reporting employee or controls the reporting employee’s schedule, evaluations, pay decisions, or discipline, the employer should limit that authority while the investigation is pending. If the complaint describes physical contact or threats, the employer should evaluate whether the parties need to work in separate locations or shifts during the investigation. If more than one employee has made similar complaints about the same person, the employer should broaden the investigation and identify whether the conduct reflects a pattern of behavior, rather than an isolated event.
Investigator Selection
Employers should not assign investigations to anyone named in a complaint or mentioned as a witness. Investigators should also have no close working relationship with either party, so the inquiry is not shaped by personal loyalty or prior assumptions about credibility.
Investigators should have prior experience conducting workplace interviews and preparing written findings, and should know how to ask follow-up questions that test timelines and compare witness accounts against available records. Written findings should state which version of events the investigator accepted and explain why that version was credited over a conflicting account. If the findings do not clearly explain why one account was chosen and what evidence supported that decision, a court or agency may conclude that the employer failed to conduct a proper harassment investigation.
Investigation Plan Before Interviews
Write The Allegations Before You Interview Anyone
Before conducting interviews, the investigator should reduce the complaint to a list of specific factual allegations. Each allegation should describe a particular act, who committed it, who was present, and the time period in which it occurred. If the reporting employee describes repeated conduct, the investigator should identify when the conduct began and whether it stopped or is ongoing.
A written allegation list should include the:
- Specific act or acts the reporting employee says occurred.
- Person accused of committing that act.
- Time frame in which the act allegedly occurred.
- Location where the act allegedly occurred.
- Company policy provision potentially implicated.
Sometimes, complaints include additional workplace grievances that do not implicate the harassment policy. A reporting employee may describe unfair treatment, personality conflicts, performance disputes, or management decisions that feel retaliatory but do not relate to protected characteristics or prohibited conduct under the policy. The investigator should separate those issues from the harassment allegations and document which facts are being investigated under the policy. If the investigator does not define the specific allegations at the outset, the scope of the investigation can drift into general workplace dissatisfaction.
Preserve Evidence Before Interviews
After defining the allegations, the employer should immediately take steps to preserve records tied to the reported conduct. Workplace email servers, messaging platforms, badge systems, and security cameras automatically record employee activity, but most systems operate under retention settings that delete or overwrite data after a set period without any deliberate action by the company. If the employer does not quickly instruct IT to preserve data from the reported timeframe, records tied to the allegation can be erased before the investigator reviews them.
Interview Order
The order interviews are conducted in affects the reliability of the information the investigator collects. Interviewing employees in the wrong sequence can allow witnesses to align their accounts or allow the accused employee to formulate a response before the investigator understands what others will say.
- Reporting Employee. The investigator should interview the reporting employee first to clarify the conduct described in the complaint.
- Witnesses. Next, the investigator should interview employees who personally saw or heard the reported conduct so their accounts are recorded before the accused employee responds.
- Accused Employee. After gathering witness accounts, the investigator should meet with the accused employee to describe the specific conduct reported and document the accused employee’s response to each allegation.
- Follow-Up. If the accused employee disputes a specific statement or identifies additional witnesses, the investigator should conduct focused follow-up interviews before closing the record.
Findings And Documentation
After completing the interviews and reviewing the preserved records, the investigator needs to decide whether the evidence supports each allegation in the complaint. Written findings should address each allegation separately and explain what testimony and physical or electronic records the investigator relied on in reaching each conclusion. Written findings should also address conflicts in the evidence directly. If witnesses give different accounts of the same event, the investigator should explain why one version was credited and identify the specific testimony or record that made that version more persuasive.
Corrective Action And Remedial Steps
If the investigation substantiates the allegations, the employer has to quickly impose discipline that demonstrates the company does not tolerate harassment. When an employer confirms that an employee engaged in harassment and allows that employee to remain in the workplace without meaningful consequence, a court can find that the employer knew about the harassment and chose not to stop it.
Supervisor Misconduct
If the investigation substantiates the allegations, the employer has to impose discipline that reflects the seriousness of the conduct and the position of the employee who engaged in it. Harassment by a supervisor creates greater legal exposure because a supervisor acts on behalf of the company and controls the reporting employee’s work conditions. When a supervisor uses that authority to harass a subordinate, the law can treat the supervisor’s conduct as the employer’s conduct. Discipline should remove the supervisor from any role overseeing the reporting employee and reflect that the misconduct involved abuse of company authority.
Retaliation After A Harassment Complaint
Once an employee reports harassment, the law prohibits the employer from taking action against that employee because of the complaint. If the employee is fired, demoted, reassigned, denied hours, or disciplined after reporting harassment, a court will examine whether the employer would have taken the adverse action if the employee had stayed silent.
A lawsuit would look closely at what the employer documented about the reporting employee before the harassment complaint, including written warnings, performance evaluations, attendance records, and prior discipline. If the employer later claims that it fired or disciplined the reporting employee for performance reasons, the court will examine whether those concerns were recorded before the complaint or only appeared afterward. When the record reflects that the employer issued the first written warning or disciplinary notice after the employee filed a complaint, a court could find that the discipline constitutes retaliation.
Post-Decision Communications And Follow-Through
Once the employer decides whether the evidence supports the allegations and selects the discipline, written notices should be issued to the reporting employee and the accused employee. The reporting employee should also be notified in writing that the investigation is complete and that corrective action was taken, without disclosing the specific discipline imposed or other confidential information. The accused employee should be provided with written findings and a written statement of the discipline, along with a clear warning that retaliation or repeat misconduct will lead to further discipline.
If the accused employee remains in the workplace, the company should tell the manager who directly supervises that employee that discipline was imposed and that the manager is responsible for enforcing it, without sharing any details of the investigation that are unrelated to supervision.
One-Page Harassment Investigation Checklist Template
1. Create the Intake Record Immediately
Write down the reporting employee’s account of the events in the employee’s own words and record the date the complaint reached the company. Identify who is being accused of harassment, what exact conduct is being alleged, and when and where the conduct occurred.
2. Assess Immediate Risk
Determine whether the accused employee controls the reporting employee’s work conditions and restrict that authority during the investigation when necessary. Separate the employees if the complaint involves physical contact or ongoing direct contact.
3. Assign an Independent Investigator
Do not assign an investigator who is named in the complaint or closely connected to either party. Select an investigator who can conduct interviews and prepare written findings that clearly identify the evidence supporting each conclusion.
4. Define the Allegations Before Interviews
List the specific conduct being investigated under the harassment policy so the scope does not expand into unrelated workplace disputes.
5. Preserve Relevant Evidence
Direct IT to preserve email, internal messages, badge data, and video from the reported timeframe before routine system settings delete or overwrite that data.
6. Conduct Interviews in the Proper Order
Interview the reporting employee first to clarify the allegations and identify witnesses or records. Then, interview employees who personally observed the conduct or have first-hand knowledge of the conduct. After gathering all other accounts, present the accused employee with each specific allegation and document the responses.
7. Issue Written Findings
Prepare written findings that address each allegation separately and state whether the evidence supports them. Cite the specific statements and records that support each determination. If witnesses give conflicting accounts, state which account the investigator accepted, along with the evidence that supports that conclusion.
8. Impose Discipline When Allegations Are Substantiated
Select a method of discipline that reflects the seriousness of the conduct. If a supervisor engaged in harassment, remove that supervisor from authority over the reporting employee or terminate employment.
9. Prevent Retaliation
Do not take action against the reporting employee because of the complaint. If the employer later disciplines, reassigns, reduces pay, or changes the reporting employee’s duties, the file should contain written performance evaluations, prior warnings, attendance records, or other business records created before the complaint that support the decision.
10. Communicate the Outcome and Monitor the Workplace
Provide written notice to both the reporting employee and the accused employee that the investigation is complete. Inform managers of imposed discipline only as needed to enforce it. Follow up with the reporting employee to confirm that they have not been the subject of retaliation or repeat misconduct.
Harassment investigations create exposure when employers skip steps or fail to document decisions properly. The national labor and employment group of Conn Maciel Carey LLP helps employers design compliant investigation procedures, train investigators, and prepare defensible findings that stand up to EEOC scrutiny. Send us a message or give us a call at (202) 715-6244 to discuss your workplace investigation protocols.
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