Many investigation reports are written poorly because investigators simply don’t know what to include. Poorly written reports provide little value and may even increase a company’s legal risk. A well written investigation report presents the right information, includes careful analysis and reaches a conclusion. Meric Bloch, author, trainer, speaker and Principal of Winter Compliance, as he outlines the fundamentals of writing investigation reports. You will learn: -What information to include and how to include it -How to assess witness credibility -Strategies for evaluating proof -How to present findings -How to avoid the most common report writing mistakes

1. Investigation Report Writing: A Nuts and
Bolts Approach
Meric Craig Bloch, Principal, Winter Compliance LLC

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9. 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

10. The Winter Method

11. Purposes of an 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 or
to defend the investigation.

12. Purposes of an Investigation Report
• Establishes the cause of an event to help decision-makers make
conclusions about what happened, fix the problem or preserve evidence
of its occurrence.
• Documents violations of the law to preserve evidence that may be used
in a disciplinary proceeding, criminal referral, or civil trial.
• Preserve evidence by making a record of what happened.
• Recognizes the limitations of human memory.
• Convenience
• A written report can keep far more details and do it accurately.
• Allows others to access the information without needing to contact the
investigator.

13. 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

14. Scope of the Investigation
• What was the initial allegation? Did additional allegations come to
light during the investigation?
• What is the precise policy / business conduct standard?
• What interviews were conducted?
• What documents were considered?
• What investigative steps should be noted in the report?

15. Factual Background of the Report
• Company department involved
• Relevant activities of the department
• Employees involved and the employee relationships
• Background facts to the subject allegation or incident
• Factual issues to be resolved

16. Identifying Information
• The primary purpose of an investigation report is gathering and
preserving evidence.
• 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 he did it, and why.
• The facts help decision-makers reach conclusions regarding the root
causes of the event and who should be held accountable.
• The fact findings are generally presented as a factual narrative.
• Know the difference between fact, inference and opinion.

17. 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

18. Discussion of the Evidence
• Tell a narrative that reads like a story. It’s easier to digest.
• 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
• Write in the third person to emphasize observations rather than the
observer.

19. Assessing Credibility
• 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.

20. Making a Determination
• Investigations are not based on what you believe happened
• Views of the investigator, and perspectives, opinions or institutional
knowledge of stakeholders are not evidence
• Your gut feelings are not a substitute for proof
• The burden of proof is a “preponderance of the evidence”
• The criminal justice burden of proof does not apply to a workplace
investigation

21. Reach Your Conclusions
• Re-state the policy elements for each allegation.
• Set out the findings of fact that are needed to reach each required
conclusion. The facts must support the conclusion.
• State the conclusion reached with reference to the applicable policy
standard.
• If there are other possible conclusions that could be drawn from the
facts, explain why those are not adequate or account for other facts
observed.
• Is your conclusion intended to decide on the cause and recommend
corrective action? Or is it to document a violation of a standard?

22. Types of Conclusions
• 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.

23. Framing Your Investigation Finding
• John Smith violated the company’s conflict of
interest policy when he steered company
business to his brother’s paper towel
company.
Say ThisDon’t Say This
The investigation determined that:
• John Smith is a company employee;
• Smith engaged in a business transaction
on the company’s behalf;
• The business transaction was with
another entity;
• Smith or an immediate family member had
a personal interest in that entity; and
• Smith failed to obtain the approval of the
CEO before engaging in the transaction.

24. Avoid Pitfalls in Report Writing
• 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 draw legal conclusions.
• Do not use inflammatory or judgmental words. Gather facts only, not
pass judgment on others.
• Make findings that relate to the relevant policy.
• Keep your sentences simple and clear.
• Avoid connotative words. Use only denotative words.

25. Avoid Pitfalls in Report Writing
• Explicitly and precisely describe the documents which are part of the
findings.
• Do not slant the information and tell only one side of the story.
• Use direct quotes whenever possible.
• Be careful when using pronouns.
• Avoid unnecessary adjectives.
• 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.

26. Communicating the Report
• Determine if a draft report requires legal review before finalizing.
• Discuss and resolve any privilege issues with legal counsel before
distributing the report.
• Consider whether a verbal summary to management before issuing
the report is advisable.
• The report is not distributed to the reporter or the implicated person.
• The report is shared with management on a need-to-know basis.

27. 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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