Investigations depend on collecting and analyzing evidence. Documentation is an important part of any workplace investigation. It is used to record who said what and when, to outline issues and investigation steps, to synthesize evidence and ensure nothing falls through the cracks. The final report is where all the pieces come together. But many investigators aren’t sure how to best document their investigations. They write notes without knowing what to record and what to leave out and cobble together reports with no plan or organization. Join Meric Bloch as he outlines best practices for documenting workplace investigations.

1. Documenting Your
Workplace Investigation
Protect Your Case and Your Organization
Meric Craig Bloch, Principal, Winter Compliance LLC

2. Meric Craig Bloch
• Meric Bloch is the Principal of Winter Compliance LLC,
offering specialized workplace investigation consulting
services.
• Creator of the “Winter Method” for conducting
workplace investigations
• Attorney and past compliance officer for two
multinational companies
• Certified Compliance and Ethics Professional - Fellow,
Certified Fraud Examiner, and Professional Certified
Investigator
• Author, Workplace Investigations: Techniques and
Strategies for Investigators and Compliance Officers; and
The First Information Is Almost Always Wrong
• Faculty, Society of Corporate Compliance and Ethics’
Basic Compliance and Ethics Academy
• Conducted approximately 400 workplace investigations

3. Elements of a Workplace Investigation
• A good-faith business inquiry that reaches a rational conclusion.
• Thorough debriefing of the reporter, the implicated person, and witnesses
with relevant information.
• Consideration of the relevant issues and standards involved.
• Gathering and analysis of all relevant evidence.
• Assessment of the credibility of the investigation participants and the
relative strength of their evidence.
• A legally defensible conclusion as to whether the conduct complained
about actually occurred.

4. Do You Have an Investigation Framework?
• An ethics and compliance investigations policy with non-retaliation,
duty-to-cooperate, and talk-or-walk provisions
• Quality standards for investigations management and investigators
• Hotline intake SOP with report triage steps and escalation criteria
• Protocol for conducting investigations
• Templates for consistent investigation tasks
• Investigator training program (initial and continuing education)
• Upwards reporting to demonstrate investigation results and
process trends

5. Documentation is a Means to an End
• Fact finding is really just evidence gathering.
• It’s not what you think happened. It’s what the evidence will show.
• Information is useless to you unless it is evidence.
• Evidence is useless to you unless it is either free-standing or something
you document.
• Documentation does not equal note taking.
• You are creating a business record that captures evidence.
• Your documentation incorporates your skills, techniques, experience,
independence and objectivity.

6. Identifying Information
• The primary purpose of an investigation is to gather evidence to learn
the truth about what may have happened.
• For evidence to be meaningful, it must be concrete and specific
• We want to know who was involved in the conduct, what that person
did, when and where they did it, and why
• Know the difference between fact, inference and opinion

7. Evidence Collection in Investigations
• Know your applicable business-conduct standard
• You must prove each element of the allegation using proper evidence
• Proper evidence is relevant
• Proper evidence is material
• Proper evidence is competent
• Proper evidence is authentic
• Proper evidence may be direct or circumstantial
• Seek corroboration of key facts before accepting them as proven
• The information in your documentation is evidence, so these
concepts apply

8. Hearsay Evidence
• The hearsay rule exists to protect the quality of the proof
• Hearsay is essentially a statement of fact made by someone other
than the witness, which is then repeated by the witness in court, in
order to prove the truth of those facts
• There are multiple exceptions because certain hearsay statements
are unlikely to be false
• Statements against interest
• Business records exception
• We can use hearsay as evidence. But we have to think in terms
of its credibility.

9. Assessing Credibility in Your Documentation
• Is the explanation you are given inherently plausible?
• Does the explanation follow the known timeline of events?
• Is there corroborating evidence to support the explanation?
• Does the person have actual knowledge of that information, or is it
hearsay?
• Are there other objective factors that give it credibility?
• Avoid personal interpretations of the other person’s credibility.

10. Documenting the Interview
• A good interview leads to a good memo which leads to good evidence
• If you don’t document it, it didn’t happen.
• Have a good memo template and use standard instructions
• Take detailed notes during the interview. Consider a second
interviewer
• Accept a written statement but not as a substitute for an interactive
interview.
• Read your notes back to the witness to confirm they are accurate.
• Note the facts of the interview without speculation, opinion or
subjective comments.

11. Documenting the Interview
• Quotes are effective, but make sure jargon is explained so you and
the witness have the same understanding.
• Date all documents and notes you prepare.
• Tape recording does not necessarily yield better evidence.
• Assess credibility in a separate document, if needed.
• The memo must be written timely.

12. Purposes of the Investigation Report
• Shows the organization responded timely and impartially to the report.
• A written report is convenient and recognizes limitations on human
memory. A written report is more detailed and a permanent record.
• Accurately documents the investigation steps taken and the evidence
gathered.
• Provides management with the facts needed to take additional steps
• Provides a written record in the event of future non-compliance.
• Can be used as an effective negotiation tool in settlement
discussions.

13. • An investigation is a deliberative process. The process must be fully
documented:
• The factual issue to be investigated (and the implicated person)
• The relevant policy or business standard against which the conduct at
question is measured
• The evidence developed by the investigation (i.e. the proof), including
exculpatory information and mitigating circumstances
• An analysis of what that evidence means (i.e. the persuasion)
• The investigation’s conclusions
Elements of an Investigation Report

14. Basic Report Structure
• Background - why the investigation was conducted
• Executive Summary – a summary of actions and results
• Scope – a statement of the investigation’s objective
• Approach – the method used and participants in the investigation
• Findings – the information identified, a discussion of those facts,
and a credibility assessment
• Summary – the conclusion reached in the investigation
• Recommendations – if appropriate and necessary
• Exhibits – if appropriate and necessary

15. Discussion of the Evidence in the Report
• Acknowledge the positions of each party
• Describe the evidence in support of each position
• Identify the relevant facts
• Include any admissions of improper conduct
• Discuss exculpatory evidence and mitigating circumstances
• As to disputed facts, assess credibility of the witness
• State the findings of fact that are needed to reach each conclusion
• State the conclusion reached as to each policy element

16. Types of Conclusions in the Report
• Substantiated: An allegation is substantiated when an investigation
identifies sufficient evidence to show that it is more likely than not that
each element of the policy / business standard occurred.
• Unsubstantiated: An allegation is unsubstantiated when an
investigation either (i) cannot meet the burden of proof to substantiate
the allegation, or (ii) proves affirmatively that the alleged conduct did
not occur.
• Inconclusive: An allegation is inconclusive if the investigation is
unable to determine whether the allegation can be substantiated.

17. Writing Proper Documentation
• Do not make recommendations for disciplinary action.
• If the allegation is unsubstantiated, generally no corrective action is
required.
• Corrective action recommendations must be tied to the root causes of
the misconduct. The recommendation is your way of helping to
reduce unacceptable business risk.
• Consider discussing recommendations separately from the report, or
making them after discussing them with management.
• If corrective action was taken, prepare an addendum to the report to
show management’s response.
• Recommendations are not binding.

18. Writing Proper Documentation
• Consider your audience’s needs for the information
• Stick to factual findings, not conclusions of law
• If someone opines that a law was violated, be sure to attribute that
statement clearly.
• Do not use inflammatory or judgmental words. Gather facts only, not
pass judgment on others.
• Align your recommendations with the conclusions
• Keep your sentences simple and clear.
• Facts must be accurate and specific.

19. Writing Proper Documentation
• Use the first person singular when referring to yourself, if needed.
• Explicitly and precisely describe the documents which are part of the findings.
• Facts should be objectively, not subjectively, stated. Opinions can be easily
challenged.
• Do not slant the information and tell only one side of the story.
• Use direct quotes whenever possible.
• Be careful when using pronouns.
• Keep the tone respectful, courteous and constructive, even if the proven
misconduct was egregious.
• Don’t include any of your observations or conclusions that could be construed
as admissions of company liability.

20. • Keep your investigation materials
 Keep your notes
 Keep an organized file
 Date your interview notes
 Keep a chronology
 Secure the documents in a safe and confidential place
• There are penalties in some cases for willful destruction of
investigation materials
• Follow your organization’s document retention policies
Retain Your Documentation

21. Thank-you for participating
Contact Meric Bloch, Principal, Winter Compliance LLC, (973) 768
3756
mbloch@wintercompliance.com
@fraudinvestigat8r
https://www.linkedin.com/in/mericbloch
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