Checklist Investigating Complaints of Harassment

Company Letterhead

{{company_name}}

{{company_address}}

Phone: {{phone}}

Email: {{email}}

Website: {{website}}

COMPLAINT INITIAL ASSESSMENT AND RECEIPT

1. Date complaint received: {{date_complaint_received}}

2. Complainant's Name: {{complainant_name}}

3. Respondent's Name(s): {{respondent_name}}

4. Nature of complaint (brief summary): {{nature_of_complaint}}

5. Is the complaint formal or informal? Assessment: {{complaint_type}}

6. Has the complainant been informed of the investigation process? Yes/No. Date informed: {{date_complainant_informed}}

INVESTIGATOR APPOINTMENT AND PLANNING

1. Lead Investigator: {{investigator_name}}

2. Date of appointment: {{investigator_appointment_date}}

3. Investigation Plan Developed? Yes/No. Date: {{investigation_plan_date}}

4. Key investigation objectives defined: {{investigation_objectives}}

5. Provisional timeline established: Start Date: {{investigation_start_date}}, Projected End Date: {{investigation_end_date}}

INTERVIEW PROCESS

1. Interview with Complainant

- Date(s) of interview: {{complainant_interview_date}}

- Key allegations documented: {{complainant_allegations}}

- Evidence provided by complainant (documents, witnesses, etc.): {{complainant_evidence}}

- Complainant's desired outcome: {{complainant_desired_outcome}}

2. Interview with Respondent(s)

- Date(s) of interview: {{respondent_interview_date}}

- Key responses to allegations documented: {{respondent_responses}}

- Evidence provided by respondent (documents, witnesses, etc.): {{respondent_evidence}}

- Respondent informed of non-retaliation policy: Yes/No

3. Interviews with Witnesses

- Witness names: {{witness_names}}

- Date(s) of interview: {{witness_interview_date}}

- Relevant information gathered: {{witness_information}}

- Witness advised of confidentiality: Yes/No

EVIDENTIARY REVIEW AND ANALYSIS

1. All evidence collected (interview notes, documents, emails, etc.) reviewed: Yes/No

2. Consistency and discrepancies in statements identified: {{discrepancies_identified}}

3. Credibility assessment of statements: {{credibility_assessment}}

4. Are there any gaps in the evidence? If so, what are they and how will they be addressed? {{evidentiary_gaps}}

FINDINGS AND CONCLUSION

1. Based on the balance of probabilities, has harassment occurred? Yes/No

2. Summary of findings: {{summary_of_findings}}

3. Conclusion regarding policy violation: {{policy_violation_conclusion}}

4. Any mitigating or aggravating factors considered: {{mitigating_aggravating_factors}}

RECOMMENDATIONS AND ACTIONS

1. Recommended disciplinary action for respondent (if applicable): {{recommended_disciplinary_action}}

2. Recommended supportive measures for complainant: {{supportive_measures_complainant}}

3. Recommended broader organizational interventions (e.g., training, policy review): {{organizational_interventions}}

4. Date recommendations submitted: {{recommendations_submission_date}}

POST-INVESTIGATION FOLLOW-UP

1. Communication to Complainant regarding outcome (without disclosing disciplinary details of respondent): {{complainant_outcome_communication_date}}

2. Communication to Respondent regarding outcome and any disciplinary action: {{respondent_outcome_communication_date}}

3. Follow-up plan established (e.g., monitoring, further support): {{follow_up_plan}}

4. Date of follow-up: {{follow_up_date}}

DOCUMENTATION AND RECORD KEEPING

1. All investigation documentation compiled and secured: Yes/No

2. Confidentiality maintained throughout: Yes/No

3. Retention period for records: {{record_retention_period}}

Signature Block

_________________________

{{investigator_signature}}

Lead Investigator

Date: {{investigator_date}}