Confidentiality
Maintaining confidentiality is paramount during a workplace investigation. The investigation should ensure that all information is kept confidential to protect the integrity of the process and the privacy of the individuals involved. Witnesses should be informed at the outset that the contents of their meetings are strictly confidential and must not be disclosed. In some cases, the complainant may wish to remain anonymous, which can complicate the investigation. However, it is sometimes possible to conduct the investigation without revealing the complainant's identity
Witness management
The number and order of witnesses interviewed can significantly impact the investigation. It is essential to balance the need to speak to all relevant witnesses without making the investigation unnecessarily wide. The investigator should be prepared to explain why any suggested witnesses were not interviewed. Typically, in a grievance or whistleblowing investigation, the complainant or whistleblower should be interviewed first to ensure a comprehensive understanding of the complaint. In disciplinary investigations, the initial witnesses are usually those who reported the alleged wrongdoing.
Meeting arrangements
Before meeting any witness, it is crucial to ensure that the meeting complies with the company's policies and procedures, which may include the right to be represented. The arrangements for the meeting should be known in advance, including whether a notetaker will be present, if the meeting will be recorded, and whether it will be held electronically or in person. Any necessary adjustments to accommodate the witness, such as regular breaks, should also be considered.
Defining the scope and objectives
At the outset of an investigation, it is essential to define the scope and objectives clearly. This includes determining what the investigation aims to achieve, such as establishing facts, assessing policy breaches, or identifying further actions. The scope should be flexible enough to accommodate new information that may arise during the investigation but should remain proportionate to the issues in question. A well-defined scope helps avoid the investigation taking on a life of its own and ensures that it remains focused.
Conducting a reasonable investigation
The investigation must be conducted reasonably to avoid being deemed unfair. This involves meeting all key witnesses, gathering relevant facts, and maintaining impartiality throughout the process. The investigator should look for evidence that both supports and contradicts the allegations. It is also important to keep the investigation within the original scope and to update employees involved on the timing and progress of the investigation.
Reporting findings
After completing the investigation, the findings should be reported in a well-structured investigation report. The report should include an introduction, a summary of the investigation process, established facts, and any recommendations for further action. The length and detail of the report should be proportionate to the complexity of the matter. Recommendations should not appear as sanctions or prejudgments but should guide the employer on the next steps.
Additional considerations
Legal compliance: Ensure the investigation complies with relevant laws and regulations, such as the ACAS Code of Practice on Disciplinary and Grievance Procedures. Failure to follow the ACAS Code can lead to adverse findings in employment tribunals and increased compensation awards.
Impartiality: The investigator must be impartial and free from any conflicts of interest. If necessary, consider appointing an external investigator to maintain objectivity.
Employee support: Provide support to employees involved in the investigation, including regular updates and access to workplace benefits such as employee counselling schemes.
By addressing these key issues, employers can ensure that workplace investigations are conducted fairly, thoroughly, and in compliance with legal standards.
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