Calendar·Human Resources·Investigations And Discipline
Investigation Reports: What to Include and What to Exclude
FACULTY OF HUMAN RESOURCESInvestigations And Discipline • ~50 min

How to write investigation reports that are legally defensible, procedurally sound, and useful to decision-makers — findings of fact, recommendations, privilege, and what not to include.

Investigation Reports: What to Include and What to Exclude

Price
$149
Lessons
6
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What this course covers

01The Purpose and Legal Significance of the Investigation Report
02Findings of Fact: How to Write Conclusions That Will Withstand Scrutiny
03Recommendations: What Belongs in the Report and What Does Not
04Privilege, Disclosure, and Protecting the Investigation Record
05Common Report Writing Errors That Undermine Defensibility
06Communicating Investigation Outcomes to the Parties

Scenario

The investigation had concluded 4 days earlier, but the report remained unwritten. A mid-sized professional services firm operating out of 3 offices across western Canada found itself at a critical juncture following a complaint filed by a senior administrative coordinator against a regional manager. The complaint alleged a pattern of conduct over approximately 8 months that included inappropriate comments, differential treatment, and 2 specific incidents that the complainant characterized as harassment.

The firm had engaged an external investigator with 15 years of experience in workplace matters. Over a 3-week period, the investigator interviewed 11 witnesses, reviewed 47 email exchanges, examined performance documentation spanning 2 years, and gathered security access records from the office building. Several witnesses corroborated aspects of the complainant's account, while others provided testimony that contradicted key elements. The regional manager denied the allegations and offered alternative explanations for the conduct described. Documentary evidence supported some factual claims but left others unresolved.

The investigator had now provided a verbal summary of preliminary conclusions to the director of human resources but had not yet drafted the formal report. The director faced pressure from multiple directions. Senior leadership wanted the matter resolved quickly and sought clear recommendations about whether discipline was warranted. The complainant had retained legal counsel and made a formal request for a copy of the investigation report. The respondent's union representative had already indicated that any disciplinary action would be grieved and that the investigation methodology would be scrutinized.

The firm's legal counsel had raised questions about litigation privilege and whether the report should be prepared under legal advice to protect certain communications from disclosure. Meanwhile, the human resources team had discovered that an early draft memorandum prepared during the investigation contained speculative commentary about the respondent's credibility that did not reflect the investigator's ultimate assessment—raising concerns about what should happen to preliminary documents.

The director of human resources understood that the written report would need to serve multiple functions simultaneously. It would need to document findings of fact sufficient to support whatever employment decision followed, withstand potential challenge at arbitration or before a human rights tribunal, satisfy disclosure obligations without compromising legitimately privileged material, and communicate outcomes to both parties in a manner that met the firm's legal obligations while preserving workplace relationships to whatever extent remained possible. The investigation had generated substantial evidence and clear analytical conclusions, but translating that work into a defensible written record presented its own distinct challenges.

More in this program

When to Investigate: Triggers and Thresholds
~50 min · $149
Conducting a Fair Workplace Investigation
~85 min · $249
Progressive Discipline: Structure, Documentation, and Consistency
~85 min · $249

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