Accurate documentation is critically essential for effective workplace investigations.
Sabrina Feldman
Best Practices for Workplace Investigation Documentation
Properly gathering, retaining, and organizing documentation ensures investigations are objective, thorough, and legally compliant. Here we outline essential best practices for documentation during a workplace investigation to help ensure a clear, defensible record of the process.
1. Record the Initial Complaint
Begin by documenting whether the initial complaint was made verbally or in writing. If the complaint was verbal, note all individuals present when it was made. Retain all follow-up correspondence that identifies or elaborates on the initial complaint as part of the investigation file to ensure a comprehensive record of the complaint’s origins.
2. Record Interviews with All Involved Parties
Log all efforts to contact and schedule interviews with the complainant, respondent, and witnesses. Accurate interview notes are essential and should capture questions asked and responses provided. Retain any follow-up or supplementary written statements, as these can be valuable for providing additional context or clarifications during the investigation.
3. Collect and Safeguard Relevant Documentary Evidence
During the investigation, additional documents—such as text messages, social media posts, work schedules, or group chat records—may become relevant to establishing a timeline or supporting or refuting witness statements. Ensure that such evidence is preserved securely. Pay particular attention to time-sensitive documentation, like video surveillance, which often has limited storage periods and should be promptly saved.
4. Secure Storage of Investigation Documentation
All investigation-related documentation, including reports, should be securely stored in a dedicated, confidential location. Avoid storing investigation files in an employee’s personnel file, unless disciplinary actions have resulted from the investigation. Secure, organized storage is essential for maintaining confidentiality and safeguarding sensitive information.
Conclusion: Proper documentation is essential for conducting effective and compliant workplace investigations.
By following best practices—such as recording the initial complaint, preserving documentary evidence, and securely storing documentation—you ensure that each investigation is thorough, fair, and legally sound. If you need guidance on conducting or documenting a workplace investigation, contact Greenwood Law, we are here to assist.
