What Do We Have Here?

While employers always hope that they will not have to deal with controversial or sensitive issues relating to employees, it is, for the most part, an inevitable aspect of managing a workforce.  Where such issues arise, be that in the form of grievances or relating to behaviour which potentially amounts to a disciplinary matter, having the practical skills and knowing how to carry out a good investigation will help ensure that things run as smoothly as possible.  While there is nothing wrong with hoping for the best, it is always sensible to prepare for the worst!

More than obligation – an opportunity 

It is important to remember that investigations are not simply a formality, they allow employers the opportunity to properly look into the matters of concern and help put the employer in the best position to both determine the outcome of the issue and to avoid accusations that there has been a failure to uphold its legal obligations. Ensuring that investigations into allegations or suspicions of misconduct are thorough and fair also helps to maintain trust between an employer and its employees. When allegations arise, they can impact more than just those in their immediate vicinity and can cause an unpleasant atmosphere around the workplace. Ignoring issues or taking a “brush it under the carpet” approach can cause dips in morale and spikes in resentment.  Having a reputation for taking investigations seriously will help employees feel confident that their complaints will be heard and addressed properly and remind employees that bad behaviour will not be allowed to slide.  

Prepare procedures and personnel 

Setting out in the company discipline and grievance procedure how investigations will be carried out, committing to timescales in which investigations will usually be completed (building in wiggle room for those matters that prove more complex) and identifying who will be responsible for undertaking investigations sets out clear expectations and useful signposts for the investigative procedure. Provide appropriate training for those who will be tasked with conducting investigations and keep their skills up to date with refresher training from time to time. The investigator should prepare for the investigation by identifying the key issues and determining who they will need to speak to and what documents or other evidence they may need to review.  When the investigator begins gathering the information together, they should be mindful to ensure confidentiality and to approach the investigation with an open mind. Throughout the process, anyone with a vested interest in the outcome of the investigation should be kept updated on the process and expected timescales. Throughout the whole process, the investigator should be mindful of the company’s legal obligations and of any other legal issues which may arise.  If appropriate, it may be helpful for them to seek support from HR or an employment law specialist throughout.   

Reflect on the facts 

Once all the evidence is gathered, the investigator should compile a written record of their findings and recommendations and copies should be sent to the relevant parties (often including the employee who raised a grievance or is under investigation) making it clear what further formal or informal action (if any) may be necessary or beneficial. The findings of an investigation, even where it does not ultimately lead to a grievance being upheld or disciplinary action being taken, can be useful as a window through which the company can review its own practices and policies and to consider making changes or providing additional training as appropriate.   

While few employers relish the idea of conducting workplace investigations, if they are handled well they can provide useful reassurance for employees that their complaints will be looked into properly and that if allegations of wrongdoing are made against them, they will be looked into in a fair and open manner. This in turn can help build and maintain trust between the employer and its employees and trust, as with most things, often forms the basis of the longest-lasting and most fulfilling relationships.