Sample Letter

SAMPLE LETTERS
Sample Letter to Complainant Prior to

Investigation
CONFIDENTIAL (Note: To ensure confidentiality of the complaint, consider sending this
initial letter or memorandum to the complainant in a sealed envelope, preferably to the
complainant’s home address, marked “Personal and Confidential — to be opened by
addressee only.”)
Dear Complainant:
On behalf of the Company, I want to thank you for coming forward with your report of
conduct that you found inconsistent with our policy against workplace harassment. We
know that making such a report is often not an easy thing to do.
As we discussed during our meeting(s) on _____, the Company has commenced an

investigation concerning your report of inappropriate conduct. If there is any additional
information the Company should consider during the investigation that was not raised
during our meeting(s), please contact me as soon as possible.
We intend to handle our investigation with the utmost confidentiality. Your concerns will
be revealed only as needed to conduct the investigation. We ask that you also treat
your concerns confidentially and not discuss your complaint with anyone else within the
Company while our investigation proceeds.
I also want to reiterate the Company’s continuing commitment to protect you if you are
subjected to any retaliation as a result of your report. Please call me immediately if you
feel that you are being subjected to retaliation in any form.
We also need to know promptly if you experience any additional objectionable conduct.
Again, please call me immediately if you believe additional incidents of objectionable
conduct have occurred since [date of last meeting with complainant].
We will notify you as soon as we have completed our investigation and let you know the
outcome. In the event that conduct inconsistent with our company policy is confirmed,
appropriate corrective action will be taken promptly.
Very truly yours,
_______________________________________________
[Name]
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Sample Letter to Complainant After

Investigation
CONFIDENTIAL
Dear Complainant:
As promised, we are reporting to you on our investigation of the allegations you raised
in your complaint on _____. Our investigation has included discussions with the
employee about whom you complained and the witnesses you identified. We have kept
the investigation impartial and objective.
Based upon our investigation, we have concluded [Insert Option 1, 2, or 3]:
(Option 1 — that based upon the facts revealed during the investigation, we have
confirmed that a violation of the Company’s harassment policy has occurred.
Appropriate measures are being taken to resolve this issue.
(Option 2 — that based upon the facts revealed during the investigation we cannot
confirm that any violation of the Company’s harassment policy has occurred. We want
to emphasize that our antiharassment policy remains in place and that we are taking
steps to ensure that the employee about whom you complained achieves a better
understanding of this policy.
Let me thank you again for bringing your concerns to our attention. Please let me know
if any additional incidents occur that you believe are inconsistent with the Company’s
harassment policy. As in this case, we will investigate your concerns in a prompt and
thorough manner.
(Option 3 — that the facts do not support your complaint. We appreciate, however, your
willingness to bring your concerns to our attention. Should additional incidents occur
that you believe are inconsistent with the Company’s harassment policy, please let me
know immediately, so that we can investigate your concerns in a prompt and thorough
manner.
I want to reiterate that the Company is committed to protecting you from any retaliation
as a result of your report and our investigation. We have informed the people in
question that any retaliation is absolutely forbidden. Please call me if you feel that you
are being subjected to retaliation in any form.
In order to protect the privacy of everyone involved, we have taken steps to handle this
matter in confidence. We expect you to treat the information contained in this letter in
the same manner.
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We hope you are satisfied with the promptness and effectiveness of our response to
your complaints. We would appreciate hearing from you about any way in which we can
improve our procedures. (If complainant has delayed in reporting, consider adding
something like: “Our investigation was hampered somewhat by the fact that you waited
[x days, y months, and/or z years] to make a report. Please comply with our policy in the
future by reporting promptly any conduct that you deem inconsistent with our policies
against workplace harassment. Only with prompt reporting can we achieve our goal of
continuing to maintain a harassment-free workplace.”) Very truly yours,
_______________________________________________
[Name]
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Sample Memorandum to Accused

Prior to Investigation
PERSONAL AND CONFIDENTIAL MEMORANDUM
TO:
FROM:
DATE:
RE:
As we informed you today, the Company has received a report alleging that certain
conduct of yours was inconsistent with our policies against workplace harassment.
As you know, when allegations of improper conduct are made, the Company is
committed to investigating the allegations and taking necessary action based on the
results of that investigation. We intend to conduct a complete investigation into the
allegations in question. We expect and appreciate your full cooperation with this
investigation. We will handle the investigation with the utmost confidentiality consistent
with our need to investigate and will notify you promptly as soon as we have completed
our investigation.
Please be advised that the Company is committed to protecting individuals who come
forward to complain of conduct that they find inconsistent with our policy against
workplace harassment. We expect that you will cooperate with this policy and not
retaliate in any form.
Therefore, do not attempt to contact the complainant during the investigation [other than
is absolutely required for work-related purposes]. Furthermore, during the pendency of
our investigation, you are not to communicate, directly or indirectly, with any employee
about the allegation made against you. We want you to avoid even the appearance of
any interference with the investigation. Failure to abide by these requirements will result
in disciplinary action regardless of whether the allegation we are investigating has any
merit.
At the same time, the Company will keep an open mind and consider any and all
information that you can supply to help us ensure that we reach a sound conclusion.
If at any time during this investigation you experience any problems in relation to this
issue, please contact me immediately. Thank you for your cooperation.
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After Investigation (#1)
TO:
FROM:
DATE:
RE:
We have completed our investigation into allegations that certain conduct of yours was
inconsistent with our policy against workplace harassment.
As you know, the company is committed to investigating allegations of improper conduct

and taking whatever action is called for based on the results of that investigation.
The purpose of this memorandum is to inform you of the conclusions we have reached
concerning the allegations and to provide you with some guidance on how to avoid such
allegations in the future.
The allegations against you listed six instances in which _________ alleged that your
conduct was inappropriate and/or had sexual overtones. There are some factual
differences between ______’s version of these instances and yours. Significantly, she
believes that there were sexual connotations in your statements, whereas you have said
no such connotations were present or, at least, were not intended.
We do believe that you made statements in the presence of _________ that, while not
amounting to sexual harassment, were inappropriate under the circumstances and
provided a basis for her to make some of her allegations against you. Your references
to her as an “expensive date” and some of your comments at the sales meeting are
examples. In the future, you need to be more sensitive. As we have discussed, it is
particularly important for any manager when dealing with persons of the other sex to
establish a professional relationship and to have all dealings on that basis. This
certainly does not mean that a professional relationship cannot also be cordial or even
friendly. However, it does mean that any discussion of nonbusiness matters should be
on subjects that are clearly acceptable to both parties — this is particularly true when
personal matters are discussed, and you must realize that for some people the phrase
“personal matters” encompass a large number of subjects. (Even where there is mutual
consent, we think it is obvious that some subjects should be avoided.) We understand,
of course, that _______ did not make it known to you that your comments were
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unwelcome until she received your critical performance evaluation of her on _______.
That she may have appeared to welcome the comments that she now complains of
illustrates the unnecessary risks that a manager runs in talking to subordinates about
certain personal matters.
The company has concluded that your conduct did not amount to unlawful harassment
on the basis of sex. Nonetheless, in certain instances it appears that you did not
exercise the high standard of care that we expect of a senior manager, particularly in
the presence of a subordinate who was experiencing serious performance issues. I
therefore find it necessary to provide you with specific guidance and direction, to ensure
that situations of this sort will not recur. Specifically, we expect that you will:
Have all dealings with co-workers of the other sex on a professional basis.
 Ensure that all discussion of nonbusiness matters with such a co-worker is on

subjects clearly acceptable to both parties.
 Avoid comments or questions about such a co-worker’s appearance or social life.
 Avoid sexual innuendoes or comments with intentional double meanings in any
business environment.
 If we are disappointed in these expectations, management will, of course, be
required to take
 further disciplinary action.
As we advised you at the outset of this investigation, the Company is committed to

protecting individuals who come forward to complain of conduct that they find
inconsistent with our policy against workplace harassment. We expect that you will
cooperate with this policy and not retaliate in any form.
Thank you for your anticipated cooperation.
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TO: [Accused]
FROM: Manager
DATE:
RE: Formal Written Warning
This will constitute the formal written warning that we discussed on _______________.
Based upon our investigation of a report of conduct by you, we have concluded that
your conduct was inappropriate for a person in your position, even if it did not amount to
a violation of the Company’s antiharassment policy. Although you perhaps did not
intend your actions to be offensive, your conduct could have had the effect of
contributing to a potentially hostile work environment.
We believe that your apology to Ms./Mr. _______, your commitment to avoid any
conduct that risks a violation of our antiharassment policy, and the issuance of this
formal written warning, have fully resolved this problem. However, you should be aware
that further inappropriate conduct on your part will result in further disciplinary action, up
to and including termination.
Based on your candid and good-faith response to this matter, I am sure that it will not be
a problem, but I also want to confirm in writing that any retaliatory actions against by
you or by anyone else at your direction or suggestion are absolutely forbidden.
As we advised you at the outset of this investigation, the Company is committed to

Please acknowledge that you have received and understand this formal written warning
by signing the enclosed copy in the space provided below and returning the signed copy
to me today.
_______________________________________________
[Name]
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TO: [Accused]
FROM: Manager
DATE:
RE: Disciplinary Action
Based upon our investigation of a report of conduct by you, we have concluded that
your conduct was inappropriate and constituted a violation of the Company’s
antiharassment policy. Although you may not have intended your actions to be
offensive, your conduct could have had the effect of contributing to a potentially hostile
work environment.
As a result, effective immediately, action is being taken to prevent any further failure to
comply with our policies against workplace harassment: [Insert action to be taken] Do
not contact the complainant or say anything that could be interpreted as further
harassment. Should there be a further violation of our policy against harassment, it will
be necessary to take further corrective action, possibly including termination. You are
required to treat the complaint, the investigation, and the outcome with the utmost
confidentiality. We believe this to be in the best interest of both the complainant and
you.
As we discussed at the outset of this investigation, the Company is committed to

This disciplinary action is taken based upon the Company’s antiharassment policy,
which is attached. Please review the policy carefully. If you have any questions
concerning its meaning or how it affects you, please let me know. Please acknowledge
that you have received and understand this [insert form of discipline] by signing the
enclosed copy in the space provided below and returning the signed copy to me today.
_______________________________________________
[Name]
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TO: [Accused]
FROM: Manager
DATE:
RE: Investigation of Allegations
We have investigated the allegations of sexual harassment that have been made
against you.
We are unable to conclude from our investigation that you committed any acts in
violation of our policy against harassment. Because of the nature of the allegations, we
are also unable to make any conclusive determination that you did not commit any such
act. It is more important than ever that your conduct be consistent with company
standards, because in the event of further allegations the allegations already made may
be taken into account in making a determination. Please continue to bear in mind that
any violation of the Company’s policy against harassment will result in disciplinary
action including possible termination.
We are taking this opportunity to thank you for your cooperation in our investigation, to
issue you another copy of our policy against workplace harassment, and to remind you
that the company forbids retaliation against anyone making a good-faith report of
workplace harassment, even if the report proves to be without merit.
We expect that we will not have the occasion to require you to address any further
allegations of conduct that is inconsistent with Company policies.
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Sample Letter to Witness

CONFIDENTIAL
Dear Witness:
Re:
First, on behalf of the Company, I thank you for participating in our investigation of
allegations regarding compliance with our Company policy against workplace
harassment. We know that your cooperation may not have been easy to provide, but is
only through cooperation by people like you that we can adequately address problems
and fully realize our goal of continuing to maintain a productive, harassment-free
workplace.
Second, I want to reiterate the Company’s commitment to protect you if you are
subjected to any retaliation as a result of your cooperation in our investigation. We
encourage you to report immediately any conduct you feel is a form of retaliation.
Finally, to protect the privacy of everyone involved, we have taken steps to handle this
matter with the utmost confidentiality. We expect you to treat whatever you may know
about the recent investigation in the same way. Therefore, do not discuss the
investigation with the complainant, with the employee alleged to have engaged in
conduct inconsistent with the Company’s antiharassment policy, with other witnesses,
or with other employees. Thank you again for your cooperation.
Very truly yours,
_______________________________________________
[Name]
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Sample Memorandum to File

Regarding Follow Up with Alleged
Harasser
TO: File
FROM: Manager
DATE:
RE: Alleged Harasser
I sat down with Alleged Harasser today to review his action plan on keeping his conduct
beyond reproach with respect to our company’s policy against workplace harassment.
Alleged reported that as a result of our disciplinary action three months ago he has
modified his behavior toward Complainant and the other women on his shift. I told him
that the Company was pleased with his constructive reaction to the discipline we found
necessary to impose. I told him that it was critical to his continued success with the
Company that he continue to avoid conduct of the sort that had led to his discipline
three months ago and that he continue to treat his co-workers without regard to whether
they had accused him of a violation of our antiharassment policy or supported
Complainant’s story when we investigated the matter. Alleged assured me that he
understood the importance of his continued compliance with our policies against
workplace harassment and retaliation.
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Sample Memorandum to File

Regarding Follow Up with Complainant
TO: File
FROM: Manager
DATE:
RE: Complainant
It has now been [insert number] weeks since the Company acted upon Complainant’s
reports of offensive conduct by Alleged Harasser. When I asked Complainant today how
she was doing and if there had been any further problems with Alleged since the time of
her report, she said “No, everything is just great now. Thank you for being so
responsive to me.” She promised me that she would let me know right away if there
were any further problems.
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Sample Report Form

Reporting Discrimination and Harassment
The Company Discrimination and Harassment Policy encourages all employees to
promptly report any discrimination or harassment that they either a) experience, b) learn
of, or c) witness. Prompt reporting is necessary to prevent or minimize discrimination
and harassment.
Reports of discrimination and harassment may, but are not required to be, in writing.
This form is provided for your convenience, but you may instead report discrimination or
harassment verbally, in person, or indirectly by phone, letter, email, fax, or any other
method.
All complaints will be taken seriously and investigated promptly.
To the fullest extent practicable, the Company will keep this report confidential.
The Company forbids retaliation against anyone for reporting discrimination or

harassment, assisting in making a discrimination or harassment complaint, or
cooperating in a discrimination or harassment investigation.
Person Making Report

 Name:
 Employee I.D:
 Position:
 Home Address:
 Phone (work):
 Phone (home):
 Alleged Violator of Policy
 Name:
 Position:
 Alleged Incident(s)
In which, if any, of the following sorts of conduct based on the victim’s protected status
has the alleged violator of the policy engaged:
 Harmful physical contact.

 Physically threatening words or gestures.
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 Touching, pinching, patting, or hugging.

 Brushing against or moving unusually close to complainant’s body.
 Blocking complainant’s path or movement.
 Other unwelcome conduct — whether verbal, physical, or visual — that is based
upon the
 subject’s protected status or characteristic.
 Demanding sexual favors.
 Sexual flirtations, propositions, or advances.
 Commenting on complainant’s or another person’s sexually attractive
appearance or dress.
 Telling sexually oriented jokes.
 Displaying sexually oriented photos, cartoons, or other materials.
 Describing sexual experiences or desires.
 Sexually oriented teasing or kidding.
 Verbal abuse.
 Graphic or degrading comments about another’s protected status, sexual
orientation, behavior, or
 desires.
 Giving gifts, especially of a personal nature.
 Leering or ogling.
 Offering to grant, or threatening to withhold job benefits in return for sexual
favors.
 Basing invitations to business or business-related social events on the
complainant’s protected
 status.
 Using demeaning terms.
 Treating complainant differently solely because of protected status.
 Other (Specify).
o Place(s):
o Date(s):
o Time(s):
o Other Individuals Involved:
o Details:
Signature______________________________
Date___________________________________
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Sample Investigation Forms

Complaint
Directions
Advise complainant of the following:
 Company takes reports of wrongdoing seriously and will investigate thoroughly.

 Confidentiality will be observed to the extent practical to protect everyone’s
privacy.
 Retaliation for making a report of misconduct or harassment is forbidden by the
company.
 Complainant should not discuss allegations with any other employees.
 Complainant must immediately notify the investigator or human resources (or any
other
 alternative) of any perceived retaliation or of further incidents of misconduct or
harassment.
Do not use leading questions. Let interviewees tell their own stories.Do not include your
interpretations, beliefs, assumptions, or conclusions. Obtain information in detail, asking
follow-up questions as necessary. At conclusion of interview, request (do not demand)
that complainant review and sign this report. Note if complainant refuses to review and
sign this report and reasons for refusal.
Interview
 Date:
 Time:
 Place:
 Interviewer:
 Individuals Present:
 Complainant
 Name:
 Social Security Number:
 Employee I.D:
 Position:
 Home Address:
 Phone (work):
 Phone (home):
 Alleged Harasser
 Name:
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 Position:
In which, if any, of the following sorts of conduct has the alleged harasser engaged:

 Blocking complainant’s path or movement. Other unwelcome conduct — whether
verbal, physical, or visual — that is based upon the
 Verbal abuse.
 desires.
favors.
 status.
o Place(s):
o Date(s):
o Time(s):
o Other Individuals Involved:
o Details:
o Claimant’s Contemporaneous Response to Incident:
o Claimant’s Later Response to Incident:
o Claimant’s Professional Relationship to Alleged Harasser:
o Claimant’s Personal Relationship to Alleged Harasser:
o Possible Witnesses to Alleged Harassment:
o Other Possible Victims of Harassment by Alleged Harasser:
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o Other Individuals Consulted by Complainant about Alleged Harassment:

o Response of Any Such Individuals to Complainant’s Report of Alleged
Harassment:
o Documents that Record Alleged Harassment:
o Reason for Delay (if any) in Reporting Alleged Harassment:
o Effect of Alleged Harassment on Complainant:
o Action Requested by Complainant to Prevent Further Harassment:
Conclusion of Interview
“I have read and reviewed this report. It is complete and accurate.”

________________________________________________________
Witness
Directions
Advise witness of the following:
 Purpose of interview is to investigate a complaint of misconduct.

 Full, truthful cooperation is expected of everyone.
 There will be no retaliation for cooperating in the investigation.
 Witness has right and duty to report any perceived retaliation.
 Confidentiality will be observed to the extent practical to protect everyone’s
privacy.
 Witness should not discuss allegations with any other employees.
Do not use leading questions. Let interviewees tell their own stories. Do not include your
interpretations, beliefs, assumptions, or conclusions. Obtain following information in
detail, asking follow-up questions as necessary. At conclusion of interview, request (do
not demand) that witness review and sign this report. Note if witness refuses to review
and sign this report and reasons for refusal.
Interview
 Date:
 Time:
 Place:
 Interviewer:
 Witness
 Name:
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 Employee I.D.:
 Position:
 Home Address:
 Phone (work):
 Phone (home):
Has the witness personally observed or heard of any of the following sorts of conduct in
the workplace?

 Blocking complainant’s path or movement.
 Other unwelcome conduct — whether verbal, physical, or visual — that is based
upon the
 Verbal abuse.
 desires.
favors.
 status.
o Details:
o Place(s):
o Date(s):
o Time(s):
o Individuals Involved:
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o Circumstances:
o Type of Conduct:
o Words:
o Touching:
o Other Conduct:
o Other Possible Witnesses to Alleged Harassment:
o Documents that Record Alleged Harassment:
Conclusion of Interview
___________________________________________
Alleged Harasser
Directions
Advise alleged harasser of the following:
 Purpose of meeting is to ask about allegations of workplace conduct.

 No conclusions have been reached.
 This is interviewee’s chance to tell the individual’s own side of story.
 Full, truthful cooperation is expected of everyone.
 Interviewee is not to interfere with the investigation (by, for example, talking with
other
 employees about the allegations or the subject matter of the complaint).
 Any retaliation is forbidden, regardless of whether the allegations now being
investigated are
 true. Explain that all types of retaliation are forbidden, including the following:
 Demoting, transferring or dismissing the complainant or any employee involved
in the
 investigation.
 Providing negative evaluations of the complainant or any employee involved in
the
 investigation.
 Verbal misconduct.
 Denial of overtime or any other job benefit to the complainant or any employee
involved in the
 investigation.
 Giving the “cold shoulder” to the complainant or any employee involved in the
investigation.
Do not use leading questions. Let interviewees tell their own stories. Do not include your
interpretations, beliefs, assumptions, or conclusions. Obtain following information in
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detail, asking follow-up questions as necessary. At conclusion of interview, request (do

not demand) that alleged harasser review and sign this report. Note if alleged harasser
refuses to review and sign this report and reasons for refusal.
Interview
 Date:
 Time:
 Place:
 Interviewer:
 Alleged Harasser
 Name:
 Employee I.D:
 Position:
 Home Address:
 Phone (work):
 Phone (home):
Alleged Incident(s)
Identify each alleged improper statement or action in detail and allow the alleged
harasser to respond to each one. (Note: The source of information need not be
disclosed.)
 Denial of Incident(s):
 Specific Facts Disputed:
 Mitigating Circumstances:
 Claimant’s Professional Relationship to Alleged Harasser:
 Claimant’s Personal Relationship to Alleged Harasser:
o Has the alleged victim ever indicated any displeasure with anything the
accused has said or done, or ever asked the accused to stop?
o Has the complainant any reason to make false or exaggerated charges,
for example, soured romance, work disappointment, job performance,
personal problems outside work?
o Other?
 Behavior of complainant and alleged wrongdoer during time surrounding the

alleged incident(s):
 Possible Witnesses to Alleged Harassment:
 Documents that Record Alleged Harassment:
 Conclusion of Interview
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________________________________________________
Interviewee’s signature
Findings
Person(s) Making Findings:
 Name(s):
 Position(s):
 Date:
Complainant:
Accused:
Materials Reviewed:
Findings:
Note: The following findings are made with respect only to violations of company
policies. No findings are made with respect to any actual or possible violations of law.
1. There was a violation of company policy or there was some other misconduct
justifying discipline. Specify in detail the conduct that constitutes the violation(s):
2. There was no violation of company policy or any other misconduct justifying
discipline. Provide basis or details of finding:
3. The evidence is too inconclusive to determine if there was a violation of company
policy or any other conduct justifying discipline.
Responsive Action Report

Complainant:
Accused:
Recommended Action:
 Person(s) making recommendation(s):

 Name(s):
 Position(s):
 Date:
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 Action recommended:
Action Taken
Record in detail all responsive action taken. Include name(s) and position(s) of those
taking the action, date(s) of action, and specific nature of action.
Follow-Up Action to Be Taken

 Who is responsible for taking follow-up action?
 When is follow-up action to be taken?
 What is the nature of the follow-up action?
Follow-Up Action Taken

Record in detail all follow-up action taken. Include name(s) and position(s) of those
taking the action, date(s) of action, and specific nature of action.
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SAMPLE LETTERS

Sample Letter to Complainant Prior to

As we discussed during our meeting(s) on _____, the Company has commenced an

Very truly yours,

Sample Letter to Complainant After

Based upon our investigation, we have concluded [Insert Option 1, 2, or 3]:

Sample Memorandum to Accused

Sample Memorandum to Accused

As you know, the company is committed to investigating allegations of improper conduct

 Ensure that all discussion of nonbusiness matters with such a co-worker is on

As we advised you at the outset of this investigation, the Company is committed to

Thank you for your anticipated cooperation.

Sample Memorandum to Accused

RE: Formal Written Warning

As we advised you at the outset of this investigation, the Company is committed to

Sample Memorandum to Accused

RE: Disciplinary Action

As we discussed at the outset of this investigation, the Company is committed to

Sample Memorandum to Accused

RE: Investigation of Allegations

Sample Letter to Witness

Very truly yours,

Sample Memorandum to File

RE: Alleged Harasser

Sample Memorandum to File

Sample Report Form

All complaints will be taken seriously and investigated promptly.

The Company forbids retaliation against anyone for reporting discrimination or

Person Making Report

 Harmful physical contact.

 Touching, pinching, patting, or hugging.

Sample Investigation Forms

Advise complainant of the following:

 Company takes reports of wrongdoing seriously and will investigate thoroughly.

 Harmful physical contact.

o Other Individuals Consulted by Complainant about Alleged Harassment:

“I have read and reviewed this report. It is complete and accurate.”

 Purpose of interview is to investigate a complaint of misconduct.

 Harmful physical contact.

 Purpose of meeting is to ask about allegations of workplace conduct.

detail, asking follow-up questions as necessary. At conclusion of interview, request (do

 Behavior of complainant and alleged wrongdoer during time surrounding the

“I have read and reviewed this report. It is complete and accurate.”

Responsive Action Report

 Person(s) making recommendation(s):

Follow-Up Action to Be Taken

Follow-Up Action Taken

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