Introduction

A workplace investigation is a process conducted by the employer to address complaints or concerns related to workplace alleged misconduct.

The investigation

An investigation is a fact-finding process which necessitates the gathering of detailed information as well as the carrying out of formal interviews and taking of written statements.

The investigation process

The employer must make sure they follow a fair procedure.
If the employers dos does not carry out a reasonable investigation, any decisions they make in the disciplinary or grievance case are likely to be unfair. This could risk legal action.

The employer should get somebody who’s not involved in the case to carry out the investigation, for example another manager or someone from HR.
If this is not possible, they should try and make the procedure as impartial as they can.

The employer and the person investigating, if there is one, should start by making an investigation plan.
This can include:

  • what needs to be investigated
  • who is carrying out the investigation
  • ‘witnesses’ – anyone who needs to be spoken with to find out about the issue
  • any sources of evidence, for example work records, emails or CCTV recordings
  • any time limits, for example CCTV footage being deleted or staff going on leave
  • timeframes
  • policies or organisation guidelines to follow
  • whether the person investigating is expected to give recommendations at the end of the investigation
  • setting out the importance of confidentiality
  • any other relevant points or information

This will give the investigation a clear scope and ensure the process is full and fair.

The employer or person investigating should tell the employee with the disciplinary or grievance issue as soon as they decide to open an investigation.
This is unless the employer thinks there is a risk that the employee might tamper with evidence or influence witnesses. In this case, the employer should wait until there is less risk of this.

When the employer tells the employee they are opening an investigation, it’s a good idea for them to explain:

  • why they’re carrying out an investigation
  • who will be carrying it out
  • what they’re going to do
  • that they’ll need to talk to any witnesses
  • how long it could take
  • what will happen next, for example a meeting
  • that everything will be kept confidential

If there’s a serious issue or situation, an employer might consider suspending someone while they investigate.
An employer should consider each situation carefully. Suspension will only be needed in some situations.

If an employer feels they need to suspend someone, it’s important to consider:

  • alternative options to suspension
  • the wellbeing of the person they’re thinking of suspending – being suspended can be stressful and affect someone’s mental health

In a disciplinary or grievance investigation, the person investigating should do their best to:

  • be fair and objective
  • follow any policies or guidelines your organisation might have
  • get as much information on the case as is reasonable
  • not try to prove guilt, but get balanced evidence from both sides
  • keep the case confidential

In a disciplinary procedure, the person investigating should be finding out if there is an issue that needs to be addressed. They should not be trying to prove guilt.

The person investigating should get all the information they reasonably can and need for the case.

They should work out what physical evidence is needed based on:

  • what’s laid out in the investigation plan
  • what sources of information they can use
  • any time limits, for example records getting deleted

More evidence might come to light as the investigation goes on, so the person investigating should allow for this.

Types of physical evidence could include:

  • emails
  • paperwork
  • receipts
  • computer records
  • phone records
  • CCTV recordings
  • attendance records

In a disciplinary investigation meeting, there is no legal right to be accompanied but it’s good practice for employers to allow it.

When there’s enough information and the investigation is finished, the employer should have a written report.

If the person investigating is to give recommendations at the end of the investigation, they should recommend one of the following:

  • formal action
  • informal action
  • no further action

Conclusion

After a fair and thorough investigation, where the investigator has gathered all facts available, the completed investigation report with recommendations will be passed to the employer.
To ensure a fair process, the investigators role is now complete.

If formal action is needed another chair will be appointed to carry out the next stage.