Step Two: Preparing to Investigate
Once the decision has been made to investigate, preparation is crucial. A poorly planned investigation risks delays, missed evidence and unfair outcome, so taking the time to set up properly will save significant problems later.
The investigator creates a plan detailing evidence sources, witnesses, and relevant policies. Inform the employee being investigated unless there is a risk to the integrity of the process. Consider whether suspension is necessary (not as a disciplinary action) and identify all potential sources of evidence. If an employee is suspended during the investigation, ensure this is stated to them in a written letter.
The first step is to appoint an Investigating officer. An investigator should be appointed to lead the investigation. While this individual may be someone internal, such as an HR Manager, it is crucial that they are not associated or involved with the allegations being investigated, and that they act both fairly and objectively to establish the facts and allow for a conclusion to be reached based on what is determined to have happened. This can be achieved by collecting evidence supporting the allegation, and evidence contesting it. The investigator’s role is not to prove the guilt of one party, but to see if there is a case to answer.
Organisations are increasingly turning to external investigators to continue the objectivity of the investigation’s findings, particularly where the case involves complex matters, reputationally sensitive issues, or senior members of the Business.
Next, you must define the scope of the investigation and ensure you know what exactly you are investigating, including all the allegations or concerns. You must gather relevant policies and procedures such as grievance policy, disciplinary etc and have this throughout the investigation.
Suspension should only be considered during an investigation if it is needed to protect the investigation, the Business, other employees, or the employee under investigation. Suspension should not be used as a disciplinary measure while the investigation is ongoing. If suspension is being considered while the investigation underway, the employee should be aware that this action is not disciplinary action.
Nockolds HR can help with the preparation of investigations. We will provide you with guidance and advice when and where required and provide you with all invite letters for you to issue to witnesses and employees. Contact us today on 0345 646 0406 or fill in our online enquiry form. The next step is carrying out the investigation!