Step One: Deciding to Investigate
A workplace investigation is a formal process used by employers to examine allegations of misconduct, grievances or disputes within the organisation. It is a fact-finding exercise that collect all the significant information and evidence relating to an alleged misconduct.
Making decisions on a workplace disciplinary or grievance without completing a reasonable investigation can show any subsequent decisions or actions taken unfair or unlawful, which can expose the organisation to the risk of legal action.
As an HR Professional or Manager, you don’t want to rush into an investigation every time there’s a disagreement. Sometimes, concerns can be resolved informally through medication, or a simple conversation. However, if the allegation is serious, repeated or has legal implications, a formal investigation is usually the most appropriate route. If you are unsure contact your HR or legal advisor before taking any risks.
Key questions to ask when deciding to investigate include:
- Does the complaint involve a potential breach of contract, Law or Company policy?
- Could the issue cause harm to individuals, the Business or its reputation?
- Have previous attempts at resolution failed, or would informal action be appropriate?
- Is there a potential safeguarding or health and safety element that requires immediate action?
It is also important to ensure fairness in the Company. If one employee raises an allegation against another, failing to investigate could leave the Business exposed to claims of bias, discrimination or negligence. Employees have the right to feel their concerns are taken seriously.
You must confirm the need for a formal investigation. Employers must set clear terms of reference, appoint an impartial investigator, and define the scope of the investigation. Consider informal solution first and ensure prompt action is taken to avoid unfairness. You must maintain confidentiality and define a reasonable timeframe, subject to change when required.
Deciding to investigate isn’t just about proving guilt or innocence – it’s about establishing whether there is a case to answer, ensuring that decisions are evidence-based rather than assumption-driven.
The next step is to prepare for the investigation, if you require any assistance please contact Nockolds HR on 0345 646 0406 or fill in our online enquiry form for guidance.