How should investigation notes be maintained?

Often, internal investigation notes are utilized in litigation as a defense to a litigant's claim. Therefore, HR should take steps to defend the notes to ensure that the potential defense is available when and if necessary. The most important step in maintaining interview notes is labelling them confidential and keeping them in a separate investigation file. The notes should not be stored in an employee's personnel file. Along with the notes, a factual summary of information from each witness, factual conclusions, and recommended action should be created and preserved in the file.

Copies of interview notes should not be given to anyone, especially the complainant, accused, or other witnesses. Any revelations must only be given as needed to complete the investigation, formulate recommendations, or carry out a response. HR should be aware that asking a witness to sign a statement may result in that witness asking for a copy to keep. Once a copy is in a witness's hands, it will be difficult to control who else sees it.

Source: Conducting Effective Internal Investigations, presented by Steven T. Catlett, partner in The Litigation Group of Jones Day, at the National Employment Law Institute's Human Resources Conference, May 5, 2005, in Chicago, IL.