Decisions, Decisions: Pros And Cons Of Different Types Of Investigative Reports

It goes without saying investigations should end with a report.  But what type?  

In its Guiding Principles, the Association of Workplace Investigators states “There are many different ways to effectively document an investigation.  Whichever method is used, the investigator should take steps to ensure the reliability of the documentation.”  Thus, an investigation may yield different reports – an oral report, executive summary, or a full investigative report.  As with other decisions, there are pros and cons to each.  The type of report best suited for a particular complaint, employer, or situation varies.   

What follows is a brief overview of the types of reports and the pros and cons of each.  

Oral Report 

Just as it sounds, an oral report involves the investigator delivering the investigative findings verbally.  It is commonly referred to as a “verbal report” or an “oral debrief.”  

On the plus side, an oral debrief can save time.  Written reports can take hours to write.  If the investigation is conducted by an external investigator, oral reports can also save money.  But this comes with the caveat that oral reports still require some form of documentation.  In order to cogently deliver the findings, investigators often need an outline of some form.  This typically includes an overview of the methodology of the investigation, and, a summary of the findings and analysis.  So, in reality, an oral debrief typically includes some form of written documentation. 

Oral debriefs also have the benefit of facilitating a dialogue between the investigator and the employer.  As the report is delivered, the employer can ask questions and gather information to better understand the investigator’s analysis and conclusions.  It is not, however, the employer’s opportunity to challenge or disagree with the findings.  Just like with written reports, the investigator has the independence to reach his or her own well-reasoned conclusions without the influence of the decisionmakers.

On the negative side, an oral debrief allows for the possibility the employer misunderstands or later does not fully recall the findings.  Similarly, the lack of a written report can make it more difficult for the investigator to recall specifics if asked to testify years later.  Finally, a party challenging an investigation may attack an oral report as an effort to hide information or not fully review the complaint, even though that was not the intent.  

Executive Summary

Executive summaries are the most adaptable of the written reports.  They can range from simply setting forth the investigative methodology and findings, to including all of the investigator’s analysis, and anything in between.  It allows the investigator to focus on the analysis without a comprehensive recitation of the evidence or factual background.  For these reasons, similar to an oral debrief, an executive summary can save time and money.   

Another benefit of an executive summary is if the attorney-client privilege is waived and the report released, witness statements are not made public.  Investigations often involve sensitive issues, and the release of a full report with detailed witness statements may reveal colleagues’ and other witnesses’ perspectives on such matters.  The release of this information could negatively impact the work environment.            

Sometimes  an executive summary can also be used  to give the complainant and respondent notice the investigation was concluded, and to provide a summary of the findings.  (Author’s note: In doing so, be mindful of whether giving the parties the executive summary waives the attorney-client privilege as to the entire investigative file in your jurisdiction.)

Like an oral debrief, the lack of a full account of the evidence and analysis in an executive summary can make it more difficult for the investigator to recall specifics if later called to testify.  

Investigative Report

Finally, the investigative report.  The investigative report typically is an all-inclusive document.  It includes everything from the nature of the complaint, the investigative scope, the investigator’s role and methodology, a full recitation of the evidence gathered, and a detailed analysis supporting the findings.  

Clients should expect to pay more and wait longer when a full report is produced, especially where the evidence gathered is substantial. 

One benefit of a full report is it allows the employer to develop a thorough picture of the facts that lead to the investigator’s conclusions.  Also, an investigative report can provide valuable information about the workplace. Witnesses often share perspectives about the workplace beyond the scope of the investigation that may allow an employer to institute improvements in the culture.  This can give  employers an opportunity to address the concerns before they create bigger issues.       

*          *          *

It is important to understand the different types of reports.The decision may be one type, or a combination of two. This is a discussion to have with the investigator to ensure the report type meets expectations and needs.