Learn how to document employee-related investigation results using an investigation report template that also serves as a checklist to ensure you’ve got all the right information.
Workplace investigations are more common than ever today – and employee relations and HR leaders are taking them seriously.
Effective investigations start with detailed, defensible documentation that can be tracked, analyzed – and pointed back to over time.
What is a workplace investigation report?
A workplace investigation report provides a detailed record of information regarding an investigation. This is typically created by the investigator once a workplace investigation is determined necessary from a reported incident.
A workplace investigation report typically contains factual details regarding the accused allegations, thorough information regarding the investigation itself and conclusive notes. It does not include any biased opinion of involved parties (such as interviewees) or the investigator themselves.
What is the importance of a workplace investigation report?
An effective workplace investigation report holds significant importance within an organization. It serves as a vital document that not only encapsulates the findings of an investigation but also influences various aspects of workplace management and compliance. Here are several key reasons why workplace investigation reports are crucial:
- Initiates Appropriate Action: The investigation report can act as a catalyst for taking necessary actions based on its findings. Whether it’s addressing misconduct, implementing corrective measures, or facilitating resolutions, the report serves as a guide for the next steps.
- Documentation of the Investigation Process: The report is a detailed record of the steps taken during the investigation. It provides transparency and accountability, ensuring that the process adheres to organizational guidelines and legal requirements.
- Supports Legal Actions: In situations where legal actions may be necessary, such as employee disputes or compliance issues, the investigation report becomes a critical piece of evidence. It helps in building a strong case and defending the organization’s actions.
- Data for Preventive Measures: Workplace investigation reports are a source of valuable data that can inform proactive measures. By identifying patterns and root causes of issues, organizations can implement preventive strategies to mitigate future incidents.
- Enhanced Investigative Process: Writing an investigation report encourages a thorough examination of the case. It prompts investigators to ask pertinent questions, delve into all aspects of the incident and present a clear, objective assessment of the situation.
In summary, a workplace investigation report is not just a formality but a powerful tool that guides organizations in maintaining a fair, compliant and safe work environment.
How to write an investigation report using our template
A well-structured template for investigation reports is a valuable resource that acts as a checklist for investigation procedures, streamlines the reporting process, and ensures consistency and accuracy in documenting findings. To make the investigation report writing process simpler, follow these steps:
Step 1: Identify Reported Issue
Using your company’s case management technology, open up a work case with any info you know. Start by collecting essential details that form the foundation of the report. Include the names and contact information of all parties involved, the name of the investigator, a unique case number and the dates when the case was initiated and concluded, if applicable. This information provides context and traceability.
Workplace Example: Jenna raised concerns about Jake, a dedicated project manager, possibly engaging in project data manipulation. Jenna noticed discrepancies in project reports during her review for an upcoming team meeting. She then reported the issue via the company’s virtual hotline and described the situation.
Step 2: Specify the Case Type
Clearly identify the type of case being investigated. This helps in collecting relevant data and tailoring the report to the specific incident.
Workplace Example: Upon reviewing Jenna’s report, the case is classified as a “Data Integrity Violation.” This classification directs the investigation team to focus on data handling practices, access logs and Jake’s project management activities.
Step 3: Summarize the Details
Using all of the information at your disposal, provide a summary of the complaint or incident. Include information about who was involved in the case and how the report was received. This step lays the groundwork for the subsequent investigation process.
Workplace Example: Jenna reported her concerns about Jake’s potential data manipulation through the company’s virtual hotline. The report was then escalated to the HR department. The initial summary includes Jenna’s observations of discrepancies, Jake’s role as the project manager and a brief overview of the affected projects. The summary serves as a preliminary framework for the investigation, highlighting the key points that need further examination.
Step 4: Gather Evidence
Our workplace investigation report template can help you as you collect and organize the details of the case. This evidence could include documents, records and the details of investigative interviews. You can also use the template as a checklist to ensure that you have all the information you need from the investigation.
Workplace Example: A review of Jake’s project reports does show discrepancies as Jenna reported. Interviews with all impacted parties, including managers and other witnesses, are conducted. Relevant company policy information and code of conduct are also reviewed.
Step 5: Formulate Conclusion
Based on the factual evidence analysis and investigation conducted, complete your workplace investigation report. You should determine whether the issue is substantiated, unsubstantiated or inconclusive. You should also communicate the result appropriately to all parties.
Workplace Example: Based on the evidence, Jake is in violation of company policy due to falsified project reports. The complaint is substantiated.
By following these steps and utilizing a structured investigation report template, organizations can ensure that their reports are consistently well-organized, comprehensive and conducive to informed decision-making and effective actions.
Components of a workplace investigation report
Crafting a meticulous and comprehensive workplace investigation report is crucial for maintaining clarity, transparency and fairness when addressing workplace issues. Each element of the report plays a pivotal role in fostering a thorough understanding of the case and aids in making well-informed decisions.
Summary of allegation
This section offers a succinct overview of the reported complaint or issue. It should elaborate on the nature of the allegation, pinpointing specific actions or behaviors in question, the timeframe of the alleged incidents and any initial evidence or observations that triggered the report. This summary is designed to ensure that all parties involved have a lucid comprehension of the complaint being investigated.
Issue background and company policies
This section sets the stage for the investigation by detailing the primary issues and their context. Begin by clearly stating the issue under investigation, ideally framed as a question, such as, “Did Jennifer misuse the company credit card?” or “Did David destroy company property?” If there are multiple concerns, list each one along with any supporting information provided by the complainant.
Then, identify any policies or guidelines that may have been violated or are relevant to the investigation. Include specific details and attach any pertinent files. Clearly referencing the relevant policies helps in understanding the framework within which the investigation is conducted and ensures alignment with company standards and regulations.
Complainant, witness and subject information
Make sure to list all the complainants, witnesses and subjects directly involved in the case you are investigating. At minimum, a complainant or a subject must be involved in the investigation, but both are not required.
Evidence and timeline
Enclose any documents related to the case, which will become part of the case file. This may encompass emails, photographs, written statements and other relevant records. Also, ensure that the timeline of events is clearly documented. If appropriate, you can provide the involved party with a copy of the documents. This segment is essential for substantiating the investigation, compiling all tangible evidence that underpins the findings and conclusions.
Investigation and interview key findings summary
This section should encapsulate the key findings from witness interviews, highlighting any corroborative or contradictory information and providing insights into the case’s circumstances. Summaries should be succinct yet comprehensive, capturing the essence of the information gathered without delving into every detail.
Conclusion
The conclusion of the investigation report should encapsulate the overall findings, stating whether the allegation was substantiated, unsubstantiated or inconclusive. This part should also provide a rationale for the conclusion based on the evidence and interviews conducted. A clear and well-supported conclusion is imperative for ensuring that the outcomes of the investigation are comprehensible and accepted.
Actions to resolve/resolution
Based on the findings of the investigation, delineate the recommended actions to be taken. These might include disciplinary measures, policy modifications, additional training or other corrective actions. This section ensures that there is a definitive plan for addressing the issue and averting future incidents, contributing to a safer and more compliant workplace.
Tips for writing an effective workplace investigation report
Things to consider when writing an effective workplace investigation report are:
- Maintain Objectivity and Impartiality: Ensure the report remains unbiased and is based solely on factual evidence. Avoid personal opinions or assumptions, and present all information in a neutral tone. This approach is essential for preserving the credibility and integrity of the investigation.
- Structure the Report with Clarity: Organize the report methodically with clear headings and subheadings to ensure a logical flow. This structure makes it easy to follow the investigation process and grasp the essential points.
- Emphasize Key Findings and Evidence: Distill the most significant findings and present the supporting evidence clearly. Highlighting these critical aspects focuses attention on the pivotal elements and lays a robust foundation for the conclusions and subsequent recommendations.
- Offer Clear and Actionable Recommendations: Based on the findings, provide specific and actionable recommendations. This enables you to take precise steps towards addressing the identified issues and implementing necessary changes to prevent similar occurrences in the future.
Conduct fair, streamlined investigations with HR Acuity
Workplace investigation reports are crucial for documenting incidents, ensuring transparency and maintaining a fair work environment. They provide a structured way to capture all relevant details, findings and outcomes, which is essential for compliance and risk mitigation.
At HR Acuity, we understand the complexities of conducting thorough investigations and offer robust tools to streamline this process. Our case management software ensures consistency, accuracy and efficiency in every investigation.
