39917373 Investigation Report Template

8/22/2019 39917373 Investigation Report Template

1/9

Investigation Report Template

Final Investigation Report

Case #: 2010-00176

i-Sight Blog: http://i-sight.comCorporate Web Site: www.customerexpressions.com

i-Sight for Complaints: www.complaintsoftware.com

i-Sight for Investigations: www.investigationsystem.com
http://i-sight.com/investigation-report-template/http://i-sight.com/http://opt/scribd/conversion/tmp/scratch19439/www.customerexpressions.comhttp://www.complaintsoftware.com/http://www.investigationsystem.com/http://i-sight.com/investigation-report-template/http://i-sight.com/http://opt/scribd/conversion/tmp/scratch19439/www.customerexpressions.comhttp://www.complaintsoftware.com/http://www.investigationsystem.com/


2/9


Table of Contents

Case Information ......................................................... 3Referral Source: ...............................................................................................................3Allegation Details: ...........................................................................................................3

Subject of Allegation: ......................................................................................................3

Investigation Plan ........................................................ 4Case Notes/ Investigator Diary .................................... 4Interview Summaries ................................................... 5

Interview #1: Referral Source Janice Holmes ...............................................................5

Interview #2: Complainant Marcy Wainright ...............................................................5

Interview #3: Subject/ Respondent Jerry Jones ............................................................5

Interview Reports ........................................................ 6Interview #1: Referral Source Janice Holmes ...............................................................6

Credibility Assessment: ...................................................................................................6

Interview Notes: ...............................................................................................................6Interview #2: Complainant Marcy Wainright ...............................................................7


Interview Notes: ...............................................................................................................7Interview #3: Subject / Respondent Jerry Jones ...........................................................8


Interview Notes: ...............................................................................................................8

Exhibit List: ................................................................. 9Recommendations ....................................................... 9Final Investigative Findings: ............................................................................................9

Final Recommendations: ..................................................................................................9Organizational Action Plan ..............................................................................................9

http://i-sight.com Phone: 800-465-6089 [email protected]


3/9


Case InformationInvestigator: Carol Burnsi-Sight Case Number: 2010-00176Date Case Recorded: 2010-03-03Date Case Assigned: 2010-03-04

Referral Source:

Reported By: Janice HolmesEmail: [email protected] Phone: 613-244-5111 ext. 222Status: EmployedJob Code: 15823-A

Hire Date: 2009-03-04Location: San Antonio OfficeEmployee ID: 998339-IHGDepartment ID: AdministrationReport Date: 2010-03-03Incident Date: 2010-03-01

Allegation Details:

Case Type: HarassmentAllegation Type: SexualAlleged Victim: Jane Doe

Supervisor: Jerry JonesAllegation Details: Janice called the hotline to report her observations. She has

noticed Jerry making unwanted advances with various femaleemployees in the field office.

Subject of Allegation:

Name: Jerry JonesEmail: [email protected] Phone: 613-244-5111 ext. 212Status: Employed

Job Code: 13543-AHire Date: 2006-01-04Location: San Antonio OfficeEmployee ID: 965369-IHGDepartment ID: Administration

mailto:[email protected]:[email protected]:[email protected]:[email protected]


4/9


Investigation Plan

Investigation Scope:The investigation will focus on the tip received through the whistleblower hotline.The objective of the investigation is to determine the credibility of the referral source.

Case Notes/ Investigator Diary

Action Number: 1Action Type: Initial Review Responsible: Carol BurnsDate Completed: 2010-06-01

Description: Conducted initial review of referral.

Action Number: 2Action Type: Meeting Responsible: Carol BurnsDate Completed: 2010-06-01Description: Met with investigation manager to determine investigation scope.

Action Number: 3Action Type: Admin Responsible: Carol BurnsDate Completed: 2010-06-03Description: Contacted involved parties to arrange

Action Number: 4Action Type: Review Responsible: Carol BurnsDate Completed: 2010-06-01Description: Conducted initial review of referral.





5/9


Interview Summaries

Interview #1: Referral Source Janice HolmesConducted By: Carol BurnsPerson Interviewed: Janice HolmesInterview Location: San Antonio Office Board Room C21Interview Date: 2010-06-06

Interview #2: Complainant Marcy Wainright

Conducted By: Carol BurnsPerson Interviewed: Marcy WainrightInterview Location: San Antonio Office Board Room C21

Interview Date: 2010-06-07

Interview #3: Subject/ Respondent Jerry Jones

Conducted By: Carol BurnsPerson Interviewed: Jerry JonesInterview Location: San Antonio Office Board Room C21Interview Date: 2010-06-05



6/9


Interview Reports

Interview #1: Referral Source Janice Holmes

Conducted By: Carol BurnsPerson Interviewed: Janice HolmesInterview Location: San Antonio Office Board Room C21Interview Date: 2010-06-06

Credibility Assessment:

Janice Holmes is a new employee which enhances her credibility. She has onlybeen in her new position for 3 weeks. During questioning she seemed calm and had

a very clear recollection of events surrounding the incident in question. She alsoprovided long and detailed answers.

Interview Notes:

Introduction:Explained the purpose of the interviewExplained my role as lead investigatorReviewed confidentiality conceptsGave overview of protection against retaliationExplained interview ground rules ask for clarification, be candid and I dont know

or I dont remember are acceptable answers

Incident Overview:Please describe the events which took place on March 1, 2010Was anyone else present who may have witnessed the incident?

If so, what was their involvement?How did the victim respond to this alleged incident?Precisely where and when did this incident occur?

Are you aware of any other incidents between the involved parties?

Interview Conclusion:Thanked witness for honesty and timeReviewed confidentiality conceptsObtained signature on witness interview report



7/9


Interview #2: Complainant Marcy Wainright

Conducted By: Carol BurnsPerson Interviewed: Marcy WainrightInterview Location: San Antonio Office Board Room C21Interview Date: 2010-06-07


Marcy has been a long time employee. She is a single mother and seemed veryhesitant during the interview. She had many very short answers, often looked at thefloor and generally seemed fearful of how the incident may affect her career.

Interview Notes:Introduction:Explained the purpose of the interviewExplained my role as lead investigatorReviewed confidentiality conceptsGave overview of protection against retaliationExplained interview ground rules ask for clarification, be candid and I dont knowor I dont remember are acceptable answers

Incident Overview:Please describe the events which took place on March 1, 2010

Was anyone else present who may have witnessed the incident?If so, what was their involvement?How did the victim respond to this alleged incident?Precisely where and when did this incident occur?





8/9


Interview #3: Subject / Respondent Jerry Jones

Conducted By: Carol BurnsPerson Interviewed: Jerry JonesInterview Location: San Antonio Office Board Room C21Interview Date: 2010-06-05


Jerry Jones is the manager of the San Antonio field office and has been in theposition for 3 years. He was very inviting during the interview and provided adetailed account of the events.

Interview Notes:Introduction:Explained the purpose of the interviewExplained my role as lead investigatorReviewed confidentiality conceptsGave overview of protection against retaliationExplained interview ground rules ask for clarification, be candid and I dont knowor I dont remember are acceptable answers

Incident Overview:Please describe the events which took place on March 1, 2010

Was anyone else present who may have witnessed the incident?If so, what was their involvement?How did the victim respond to this alleged incident?Precisely where and when did this incident occur?





9/9


Exhibit List:

#1 Interview Report: Referral Source Janice Holmes

#2 Interview Report: Complainant Marcy Wainright

#3 Interview Report: Subject/ Respondent Jerry Jones

#4 Email: Subject to Complainant

#5 Performance Reviews: Annual performance reviews of involved parties

#6 Video Footage: Office video footage from day in question

Recommendations

Final Investigative Findings:

After reviewing the documentary evidence combined with the interviews it appearsthat the allegation is credible.

Final Recommendations:

We are recommending that disciplinary action be taken with Jerry Jones. The

incident is a one time occurrence and does not seem to represent a pattern ofmisconduct. Due to this mitigating factor we recommend a formal reprimand andone week of sensitivity training for Jerry Jones.

Organizational Action Plan

All parties should be contacted in 6 months for follow-up.


Documents

39917373 Investigation Report Template