The document outlines the key elements and challenges of writing effective investigation reports, emphasizing the importance of thorough investigations to produce accurate and credible reports. Angela J. Reddock-Wright, a seasoned employment and labor attorney, discusses best practices in the investigation process, including understanding complaints, assessing witness credibility, and organizing findings. It also provides a suggested format for investigation reports, highlighting the significance of organizing information and drawing clear conclusions based on the gathered evidence.

1. Writing Effective Investigation
Reports
Angela J. Reddock-Wright, Esq.
The Reddock Law Group

2. Angela Reddock-Wright
Angela J. Reddock-Wright is the Founding and Managing Attorney of
The Reddock Law Group, a boutique employment and labor law firm
providing mediation, arbitration, workplace investigation, workplace
compliance training, and expert witness services to clients. Reddock-
Wright also consults with and advises clients on setting up effective
internal investigation and alternative dispute resolution programs. A
former litigator, Reddock-Wright has represented business clients in all
aspects of employment and labor law, including claims of wrongful
termination, harassment and discrimination.
An employment and labor lawyer for nearly 20 years, Reddock-Wright
is a recognized authority on employment and labor law and workplace
issues. She is an Adjunct Faculty member in the UCLA Extension
Business, Management and Legal program. Reddock-Wright is a
published author, legal commentator and workplace blogger. You can
follow her blog at www.your-workmatters.com.

3. Goals and Objectives
• Review the key elements of an effective investigation
• Show how an effective investigation leads to great
report writing
• Discussion of the key elements of an effective
investigation report

4. Poll Question #1
How many investigation reports do you
write each year?
•0 to 5
•6 to 10
•11 to 50
•51 to 100
•More than 100

5. 5 of the Biggest Challenges in Writing
Effective Investigation Reports
1. A failure to fully identify and understand the issues and full scope of the
investigation
2. A failure to determine key follow-up issues during the investigation, and
before preparing to write the investigation report
3. A failure to stay organized during the investigation and to effectively
manage and maintain documents and information during the course of the
investigation
4. Failure to take good and detailed notes during the course of the
investigation, making it difficult to fully recall key information when writing
the investigation report
5. Not providing yourself sufficient time to prepare, make edits to and finalize
the investigation report

6. The Biggest Challenge
A failure to fully tie together the
facts, evidence, conclusions
and recommendations of the
investigation.
Note: This is often due to rushed investigations and insufficient time to
prepare and organize the investigation report.

7. Effective Investigation Reports
The #1 key to writing a great investigation report is to
conduct a great investigation.
So let’s review the basics.

8. Your Investigation & Effective Report
Writing: Why Do Employer’s Investigate?
8
• To demonstrate the employer’s commitment to its
employees
• To meet the employer’s obligation(s) under the law
• To establish a strong affirmative defense in the event of
litigation
• To assist management in resolving complaints early
• To show the employer’s commitment to its policies and
procedures

9. Your Investigation and Effective Report Writing:
Review and Understand the Complaint
9
1. Review and
Understand the
Complaint;
Determine the
Scope of the
Investigation
A failure to fully understand the
complaint can result in:
• a failure to investigate
• a failure to investigate the right
allegations
• a failure to talk to the right witnesses
• a failure to reach the right conclusion
• an over or under-reaction to the
complaint
• a failure to request and receive all
relevant information and supporting
evidence

10. 10
Your Investigation and Effective Report Writing:
Review and Assess Relevant Documents
2. Review and Consider all
Documents that Might
Provide Further Insight
into the Complaint and
the Issues of the
Complaint
EXAMPLES
– personnel records of the
complainant and the alleged
wrongdoer
– attendance records
– relevant correspondence, including
emails, emails, e-files, text
messages
– surveillance records
– relevant prior complaints or
investigations
– supervisor notes or files about
relevant events

11. 11
Your Investigation and Effective Report
Writing: Developing an Investigation Plan
Based on the allegations set forth in the complaint and other
information gathered, determine how best to get to the issues of
the complaint.
• What witnesses do you need to interview?
• What documents do you need to review?
• What potential challenges might the investigation present?

12. Your Investigation and Effective Report
Writing: Assessing Witness Credibility
12
How do you know if a witness is credible? (See EEOC Guidance at
www.eeoc.gov)
If there are conflicting versions of the events, consider the following:
• Plausibility – Is the witness’s version of the facts believable? Does it
make sense?
• Demeanor – Does the witness seem to be telling the truth?
• Motive – Does the person have a reason to lie?
• Corroboration – Are there documents or other witnesses that support
the
• witness’s version of the events?
• Past Record - Does the alleged wrongdoer have a past record of
inappropriate conduct?

13. Your Investigation and Effective Report
Writing: Documenting Your Investigation
13
The final documents of the investigation should include:
• The complaint and any rebuttal
• All drafts and final copies of your handwritten, typewritten and/or
recorded witness interviews and any related notes and
documents
• All documents and evidence provided to you during the
investigation (noting that which supports, refutes or has no
bearing on your final conclusion)
• Copies of any relevant policies
• Documentation regarding any discrepancies in the investigation
(e.g. witnesses that were not interviewed and the reasons why,
any documents or other evidence not included in the final
investigation report)

14. Your Investigation and Effective Report
Writing: Reaching A Final Conclusion
What factors should you consider
in reaching a final conclusion to
the investigation?
• The strength of statements provided
by the complainant and the alleged
wrongdoer
• Corroborating and/or rebuttal
statements and information provided
by third-party witnesses
• Disputed vs. Undisputed Facts –
make a list
• The credibility of the complainant, the
alleged wrongdoer and third-party
witnesses
• Prior history of wrongdoing by the
alleged wrongdoer
• The company’s relevant policies and
practices
• The seriousness of the allegation
• Will this case set a certain precedent?
Is that a precedent the company wants
to set?
• Reaching conclusions based on
objective facts and evidence and not
opinion, rumor speculation or purely “he
said-she said” scenarios
• Was the investigation thorough and
objective?
REACH A CONCLUSION, UNLESS
DIRECTED OTHERWISE

15. Your Investigation and Effective Report Writing:
Are You Ready to Write the Report?
• If you were to review
the investigation from
the point of view of
another person would
you consider the
investigation complete?
• Is follow-up information
needed?
• If you were the manager
charged with
making the final decision
resulting from the
outcome of the
investigation, would you
consider the investigation
complete?

16. Now You Are Ready: Organizing the
Investigation Report
16
Once you have completed the investigation, outline your investigation report
based on the following:
– Key Allegations
– For each allegation, list the following:
• Corroborating and/or rebuttal statements and information provided by
witnesses
• Disputed and undisputed facts related to the allegations
• The credibility of the complainant, the alleged wrongdoer, and any
witnesses relating to the allegation
• What documents and other evidence support or dispute the allegation
• Any relevant policies that apply to the allegation
• Your conclusion for each allegation

17. Sample Investigation Report Organizer

18. Poll Question #2
Do you use a pre-defined format for your
investigation reports or develop your
own?
•I use a pre-defined format
•I create reports in my own format

19. Suggested Investigation Report Format
• Cover Page
• Table of Contents (including a list of witnesses interviewed)
• Table of Exhibits
• Introduction
• Executive Summary
• Detailed Summary of Exhibits
• Detailed Listing of Witnesses
• Witness Interview Summaries
• Factual Analysis, Including Credibility Assessments
• Findings & Conclusions

20. Poll Question #3
What is the most frustrating part of
writing investigation reports?
•They take too much time
•Capturing the details of the investigation in the report
•Tying together the facts and evidence to reach a conclusion
•Writer’s block

21. 21
Key Elements of the Investigation Report #1
An introductory section that:
•provides a summary of the complaint
and allegations
•a statement of your findings and
conclusion

22. Sample Introductory Sentence
On December 16, 2014, the complainant Billie Jean
(“Complainant”),a Bank Teller at American Bank of the North
Corporation’s Southeast Branch (the “Bank”), filed an internal
complaint alleging that her supervisor Wally Walker (“Respondent”),
the Assistant Branch Manager, violated her privacy rights by
spreading false rumors to her co-workers about her being
pregnant and not knowing who the father was.
Complainant alleges that Respondent’s conduct constituted a
violation of the Bank’s Confidentiality Policy, which
protects the privacy rights of employees, along with the
Bank’s Standards of Conduct Policy, which sets expectations
as to how employees should treat and engage with one another in
the workplace.

23. Key Elements of the Investigation Report #2
An Executive Summary and Overview of the Complaint that
includes:
–the date of the complaint
–the timeframe of the investigation
–a list of witness interviewed
–a summary of exhibits and documents relied upon
–an overview of the facts and allegations of the complaint
–a summary of your key factual findings and conclusions

24. Sample Executive Summary Excerpt
Below is a summary of the investigation, including my investigation findings,
conclusions and recommendations. In summary, I find that Complainant’s
allegation that Respondent violated her right to privacy, in violation of the
Bank’s Confidentiality and Standards of Conduct policies, is substantiated and
supported by the evidence. I find that Complainant’s claim of gender
discrimination is not substantiated or supported by the evidence.
Based on my findings and conclusions, it is my recommendation that the Bank
provide Respondent a written counseling advising him of the findings of the
investigation, including notice of his violation of the Bank’s Confidentiality and
Standards of Conduct Policies. The written counseling should remind Respondent
of the Bank’s expectations of him as a manager, and advise him that his engagement
in any conduct of a similar nature in the future may result in further discipline, up to
and including termination. In light of the strained relationship, and breach of trust
between Complainant and Respondent, I also recommend the Bank consider
transferring Respondent to another Bank branch.

25. Key Elements of the Investigation Report #3
Witness Interview Summaries
The report should provide a summary of relevant
information from each of your witness interviews.
Ultimately, your witness interview summaries will
tie into your factual analysis and conclusions.

26. Sample Summary of the Complainant’s
Testimony
Complainant is a Bank Teller at the Bank’s Southeast Branch. She has worked for the Bank
since January 20, 2011. She reports to Respondent. Complainant alleges that on
November 25, 2014, the day before Thanksgiving, her co-worker John Smith (“Smith”), told her
that Respondent had been spreading rumors about her to her co-workers, stating that she was
pregnant and that she did not know if the father was her husband Steve or her boyfriend George
Ward (“Ward”). Ward is a former employee and Customer Service Manager at the Bank’s
Southeast Branch. Ward resigned his employment with the Bank on November 20, 2014 to take
a position at another Bank.
Complainant stated that when Smith told her about the rumor, she was so upset that she went
home early that day. She also stated that the news ruined her Thanksgiving weekend and the
time she spent with her family.
Complainant stated that as she thought about the situation over the Thanksgiving weekend, she
decided to contact Ward to see what, if anything he told Respondent about her being pregnant.
Complainant stated that Ward told her that a few days before Thanksgiving, he had lunch with
Respondent and told him in confidence that he and Complainant were expecting a child and that
he was excited. Respondent stated that Ward told her that he told Respondent to keep the
information confidential. Complainant stated that she was upset to learn that Ward told
Respondent the news of her pregnancy, as they both are aware that Respondent has a
reputation for “having a loose mouth” and for not keeping the confidences of his employees.

27. Key Elements of the Investigation Report #4
Factual
Analysis/Findings
& Conclusions
This section should tie the
key allegations of the
complaint, together with the
facts and evidence supporting
and/or disputing the allegation
.
Key elements of your factual analysis:
• A topic sentence that introduces the
allegation
• A summary of what the complainant
alleges
• A summary of the respondent’s response
• A summary of the relevant statements of
the witnesses
• A statement regarding the credibility of
the complainant, respondent and
witnesses
• Identification and reference to any
relevant documents
• Identification to any relevant company
policies
• A statement of any open or unresolved
issues
• Your conclusion, which ties in all of the a
above

28. 28
Key Elements of the Investigation Report #5
• Overall Conclusion, Factual
Findings and
Recommendations
• Be sure to tie your overall
conclusion and
recommendations to your
factual findings
Conclusion Options:
– Allegations Substantiated
(more likely true than not)
– Allegations
Unsubstantiated (not likely
to be true based on the
facts and evidence)
– Allegations Inconclusive
(insufficient information to
draw a conclusion)

29. Sample Statement of Factual Findings &
Conclusions
Based on the foregoing, I find that Complainant’s allegation that Respondent violated her
right to privacy is substantiated and is supported by the evidence. Although Respondent
denies this allegation, the testimony of each of the witnesses suggests otherwise. Each of the
employees interviewed stated that Respondent told them Complainant was pregnant. The
evidence also confirms that Respondent told Wall and the café owner that Complainant was
pregnant, but she did not know who the father was. Each of the witnesses also stated that
Respondent has a reputation for spreading rumors about employees and sharing the confidences
of employees. In particular, Wall stated that he filed a similar complaint against Respondent in
September 2013 alleging that Respondent engaged in similar misconduct towards him.
Respondent’s sharing of confidential information about Complainant constitutes a
violation of the Bank’s Confidentiality and Standards of Conduct policies, which he signed
off on at the beginning of his employment with the Bank and annually since then. The
Bank’s Confidentiality policy states that all employees at the Bank have a right to privacy with
respect to their personal information. Exhibit 1. The Bank’s Standards of Conduct Policy sets
forth the Bank’s expectations in terms of how its employees should treat one another, including
showing respect for one another. Exhibit 2. Respondent’s conduct violated each of these
policies and failed to demonstrate the principles and standards expected of the Bank’s managers.

30. Key Elements of the Investigation
Report - Checklist
30
Investigation Report Checklist:
• The date of the incident(s) under
investigation
• The date and form of the complaint
• A statement of the general
allegations of the complaint
• Who conducted the investigation
• An overview of the timeline of the
investigation
• List of the witnesses interviewed,
including the dates, times and
locations
• A summary of any documents or
evidence collected, including the
source and method of obtaining the
information (e.g. from a witness, an
employee’s personnel file)
• Reference to and attachment of the
relevant company policies
• Witness interview summaries
• Summary and discussion of important
facts and their relation to the relevant
policies and issues of the complaint
• Your conclusion and how you reached
the conclusion
• Any important issues left unresolved
• Any action taken

31. Sample Report
Sample Reddock Law Group Workplace
Investigation Report

32. Thank you for your time and attention today!
May you have many successful investigations
going forward.
Angela J. Reddock-Wright, Esq.
The Reddock Law Group
www.reddocklaw.com
(213) 996-8474; angela@reddocklaw.com
Contact us at i-Sight
j.gerard@i-sight.com