What are the steps involved in a workplace investigation?

In a recent article, Head of HR Services Nathan Andrews looked at the benefits and details of workplace investigations (read it here).

However, one area that he didn’t cover was the steps involved in an investigation.

So, in this article from Nathan, you’ll find a detailed breakdown of the entire process, from appointing an investigator to making an informed decision at the end of the procedure.

What are the steps of a workplace investigation?

1. Appointing an Investigating Officer

The first step when a disciplinary or grievance matter arises is to appoint an investigating officer.

Their role is to establish the facts and gather evidence as soon as possible before memories of events fade.

Related: How to conduct Disciplinary Procedures - Advice for Employers

2. Gathering Evidence

Next, the investigating officer will collect witness statements where appropriate and keep written records for future reference.

This includes maintaining copies of all statements, notes taken during the investigative process, original handwritten notes, and any other relevant documentation brought to their attention.

3. Considering Special Circumstances

As part of the investigation, the investigating officer will identify any special circumstances that need consideration.

This includes personal or external issues affecting performance or conduct and investigating any mitigation or explanations provided by the employee.

4. Ensuring Fair Treatment

Fair treatment is a must.

As the employer, you will need to verify that the standards applied to the employees involved in the investigation, whether they are defending an accusation or not, are acceptable and that no-one is unfairly singled out.

This will be an important consideration for any professionally trained and qualified investigator.

Related: The Dos and Don'ts of Workplace Investigations

5. Informing the Employee

If an investigation meeting is held solely to establish the facts of the case, the employee should be informed that it is not a disciplinary meeting.

How long can a work investigation take?

The duration of a work investigation depends on several factors, including the complexity of the matter and the scope of the issues to be investigated.

Employers should consult their internal policies and procedures to check for any guidance or required timescales for the investigative process.

If no specific timescales are provided, employers should establish a provisional timeframe for the investigation. For complex matters, this might take several weeks, while simpler cases may require only a brief investigation.

The importance of timescales

Providing a provisional timeframe is helpful for the individuals involved. However, it is important to avoid setting overly rigid deadlines.

The investigating officer should not be restricted by a strict completion date, as they may need to adjust the timeframe to ensure a thorough investigation.

While an investigation should be completed as quickly as possible, it also needs to be sufficiently thorough to be fair and reasonable. This is especially crucial if the investigation could lead to disciplinary action or legal proceedings.

What happens at the end of a workplace investigation?

At the conclusion of a workplace investigation, the investigating officer will produce a comprehensive investigation outcome report. This report should include:

• Terms of Reference: The scope and objectives of the investigation.
• Details of the Complainant and Respondent: Information about the parties involved.
• Summary of the Investigation Process: An overview of how the investigation was conducted.
• Evidence Collected: A detailed breakdown of the evidence gathered, including any evidence that was not collected.
• Interviews Conducted: A list of people interviewed as part of the investigation process.
• Summary of Matters Under Investigation: A concise summary of the issues investigated.
• Findings: Detailed responses from the investigating officer regarding their findings.
• Mitigating Factors: Any mitigating factors established during the investigation.
• Conclusions: The investigating officer's conclusions based on the evidence.
• Recommendations: The investigating officer's recommendations for next steps.

After the report is completed, it is up to the employer to review the findings and recommendations and decide on the appropriate course of action based on the investigation's outcome.

Do I need a solicitor for a workplace investigation?

Although you don’t necessarily ‘need’ a solicitor, lawyer or barrister to conduct a workplace investigation; it is certainly recommended.

A credible investigator with appropriate training and experience will be able to maintain a professional level of impartiality, follow best practice, ensure that your organisation is legally compliant and assist in especially complex cases with expertise and thorough documentation.

Above all else, instructing a good investigator ensures a fair investigation, allowing your organisation to address issues effectively and maintain trust with staff.

Why choose Frettens?

At Frettens, our specialist Workplace Investigation Team prioritises honesty and meticulous attention to detail. We won’t tell you what you want to hear; we’ll tell you the truth and provide all the facts you need to make a sensible, informed decision.

Our investigators are professionally trained, experienced, accredited and operate in a regulated sector, specialising in legal procedure, investigative interviewing, report writing and investigative practice.

By choosing Frettens, you benefit from a team dedicated to providing clarity and detailed analysis, empowering you to make confident decisions and maintain a fair and compliant workplace.

If you would like to speak to one of our professionals, you can call us on 01202 499255, or fill out the form at the top of this page, for a free initial chat.

Alternatively, you can find out more about what we do in an investigation here.