Two documents prevent this: an HR investigation form for intake, completed when the complaint is received, and an investigation plan, written before the first interview. This article gives you both as templates, explains how to fill them in, and shows a completed example.
An employer is generally liable for coworker or third-party harassment if it knew or should have known about it and failed to take prompt and appropriate corrective action, according to the EEOC. The intake form fixes the date the employer knew and what it was told. The plan shows that the response was organized and impartial from the start.
State rules can add detail. California's regulations, for example, require a complaint process that ensures a timely response, impartial and timely investigations by qualified personnel, and "documentation and tracking for reasonable progress." Check other states where you operate for their own complaint-procedure requirements.
There is a practical reason too. A written plan forces the investigator to define the allegations before hearing the evidence, which is the best protection against an investigation that drifts toward a conclusion someone already holds.
Offer the form to the employee, but do not make it a condition of acting. A verbal complaint still puts the employer on notice. If the employee prefers to talk, the HR representative completes the form from the conversation and asks the employee to review it for accuracy. See documenting the statement of complaint.
EMPLOYEE COMPLAINT INTAKE FORM Confidential
Date and time received: Received by (name, title): How received: ? In person ? Phone ? Email ? Hotline ? Through a supervisor ? Anonymous ? Other:
Name: (or "anonymous") Job title and department: Supervisor: Preferred contact method and times: Is this person the affected employee, or reporting on behalf of someone else?
Name(s), title(s), department(s): Relationship to the person affected: ? Supervisor ? Coworker ? Subordinate ? Customer/vendor/other non-employee
Describe each incident. For each one, include:
Is the conduct still going on? ? Yes ? No ? Not sure When did it first occur?
Are there emails, texts, photos, recordings, notes, or other records? ? Yes ? No Describe and attach copies if available: Names of anyone else who may have information:
Have you reported this to anyone before? ? Yes ? No If yes, to whom, when, and what happened?
How has this affected you or your work? Do you have any concerns about your safety? ? Yes ? No (if yes, describe) Do you have any concerns about retaliation? ? Yes ? No (if yes, describe) Is there anything you need right now to be able to keep working comfortably?
What would you like to see happen?
? I understand the company will review this concern and may need to speak with others to do so. ? I understand the information will be kept confidential to the extent possible and shared only with those who need to know. ? I understand company policy prohibits retaliation against anyone who raises a concern in good faith or participates in an investigation, and that I should report any retaliation immediately to [name/contact]. ? The information I have provided is true and complete to the best of my knowledge.
Employee signature and date: HR representative signature and date:
Initial assessment (policies potentially implicated): Immediate actions taken (safety, separation, evidence preservation): Triage decision: ? Formal investigation ? Informal resolution ? Referred to: ? No action (explain) Assigned to: Case number:
Write the plan after intake and before the first interview. It is a working document; update it as the investigation develops, and date each revision.
INVESTIGATION PLAN Confidential
Case number: Date opened: Investigator: Plan prepared / last revised:
Two or three sentences: who, about whom, and the nature of the concern.
Why this investigator is appropriate (no reporting relationship, no personal relationship, no involvement in the events). Any conflict checked and ruled out.
Number each one. State it neutrally and specifically (who, what, when, where).
1. 2. 3.
For each allegation: what facts would establish it, and what facts would refute it?
Steps taken to protect the parties and the workplace (separation, schedule changes, leave). Date reviewed. Next review date.
| Item | Source/custodian | Requested | Received |
|---|---|---|---|
Preservation requests sent (IT, security, facilities): date and recipient.
| Order | Name | Role | Why relevant | Topics/documents to cover | Scheduled |
|---|---|---|---|---|---|
Reason for the order chosen:
Location, note-taker, recording (if any, and consent confirmed), interpreter or accommodation needs.
Who has been told what (complainant, respondent, managers). Planned status updates.
Target dates for: evidence collected, interviews complete, report drafted, decision, closure.
Date, change, reason.
The following is fictional and abbreviated. All names and facts are invented.
INVESTIGATION PLAN Case number: ER-0522. Date opened: May 4. Investigator: Marcus Hill, Senior HR Generalist. Plan prepared: May 5.
1. Summary. Elena Ruiz, Accounts Payable Specialist, reported on May 4 that her manager, Greg Lawson, has repeatedly mocked her accent in team meetings and excluded her from a project after she objected.
2. Investigator selection. Mr. Hill supports a different business unit, has no reporting or personal relationship with either party, and was not present at any of the meetings.
3. Preliminaries. Employment counsel notified May 4; investigation to proceed as an HR-led process. No union-represented employees. No contract time limits.
4. Allegations.
5. Policies. Anti-Harassment and Non-Discrimination Policy (national origin); Anti-Retaliation Policy.
6. Questions. Did Mr. Lawson imitate Ms. Ruiz's accent, when, and in whose presence? What did Ms. Ruiz say to him on April 24? Who decided to change the project team, when was that decided, and why? Is there any record of the decision that predates April 24?
7. Interim measures. Effective May 5, Ms. Ruiz's weekly one-on-one meetings are held with the Controller instead of Mr. Lawson. No change to her pay, duties, or schedule. Review date: May 12.
8. Evidence.
| Item | Source | Requested | Received |
|---|---|---|---|
| Meeting invitations and attendee lists, Mar-Apr | IT | May 5 | |
| Project team emails and chat, Apr 15-30 | IT | May 5 | |
| Vendor-audit project plan, all versions | Controller | May 5 | |
| Prior complaints involving G. Lawson | HR records | May 5 | May 5 (none) |
9. Interviews.
| Order | Name | Role | Why relevant | Scheduled |
|---|---|---|---|---|
| 1 | Elena Ruiz | Complainant | Full account; documents | May 5 |
| 2 | Team member A | Witness | Attended all three meetings | May 7 |
| 3 | Team member B | Witness | Attended two meetings; on audit project | May 7 |
| 4 | Controller | Witness | Approved project staffing | May 8 |
| 5 | Greg Lawson | Respondent | Response to both allegations | May 11 |
Reason for order: Standard sequence; project records to be reviewed before the Controller and respondent interviews.
12. Timeline. Evidence collected May 8. Interviews complete May 12. Report May 18. Decision and closure the week of May 18.
Notice how Allegation 2 is framed. It does not assume the removal was retaliatory. It identifies the timing and asks who decided, when, and why. The sixth question, whether a record of the decision predates the objection, is the kind of refuting fact a plan should look for.
Keep both documents in the investigation file, separate from personnel files. Federal regulations require personnel and employment records to be preserved for at least one year and, once a discrimination charge is filed, until final disposition (29 CFR 1602.14).
For the full sequence these documents support, see the HR investigation process, step by step and the Workplace Investigations Guide.
Templates give you structure; judgment about scope, sequencing, and what to ask comes with practice. The Internal Investigations Certificate Program covers planning and managing investigations from beginning to end through interactive exercises, and participants receive sample investigation forms and templates, witness interview guides, and checklists.
The date and method of receipt, who is raising the concern and about whom, a description of each incident with dates, locations and witnesses, any evidence, prior reports, safety and retaliation concerns, the outcome sought, acknowledgments about confidentiality and retaliation, and an HR-only section recording the triage decision.
No. A verbal complaint, or even conduct a supervisor observes, can put the employer on notice. If the employee does not want to complete a form, HR should document the complaint and ask the employee to confirm its accuracy.
A short written document, prepared before interviews begin, that sets out the allegations, the policies involved, the questions to be answered, the evidence to collect, the witnesses and interview order, interim measures, and target dates. It is updated as the investigation proceeds.
It is good practice, because a signature confirms the account is accurate and complete. If the employee declines, note that, and do not delay the investigation because of it.
A general intake form works for most complaints. Some matters need additional questions, for example safety incidents or suspected theft. Keep the core form consistent so every complaint is captured the same way.
No. It is an internal working document. The parties are told about the process in general terms and, at the end, about the outcome.
An intake form records what the employer was told and when. An investigation plan shows the response was organized, impartial, and timely. Together they take an hour or two at the start of a case and save far more later, when the report has to be written or the process has to be explained to someone outside the company. Copy the templates above, adapt them to your policies, and have counsel review the acknowledgment language.
This article is general education, not legal advice. For hands-on practice with forms and planning, see the Internal Investigations Certificate Program, the Workplace Investigations Checklist, and the Workplace Investigation FAQs.
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