An employee investigation is the first step you take when addressing concerns that have been raised, whether that’s a colleague raising a grievance, or the business flagging a potential disciplinary issue. Investigations must be carried out within a reasonable time-frame of the concern being raised, and the sole aim is always to establish the facts in a fair and objective way.

Understand what you’re investigating and why

Before you begin, make sure you’re clear on exactly what you’re investigating and why. As the investigation progresses, you may uncover things that weren’t obvious or present at the start, and these will also need to be looked into.

Remember that in a disciplinary situation, the outcome of the investigation is simply to determine if there are grounds to proceed to a disciplinary hearing or not – you are not reaching a decision about whether or not the allegations are upheld.

In a grievance situation you are likely to have met the employee raising the grievance first and then be checking to further investigate the concerns they have raised before reaching a conclusion and making recommendations.

At times, you may find yourself under pressure to rush an investigation or to reach a certain outcome. Don’t give in to this pressure. A rushed investigation will likely cut corners, and you risk missing key information. Always follow the correct process to ensure the investigation is fair and thorough.

Take time to properly process the information you gather. Managers and employees alike need to understand that the investigator’s role is to ensure fair action is taken. At every stage, it should be clear that the investigation has been thorough; this reduces the risk of an appeal from the employee, and in the worst case, gives you a strong footing should the case reach an employment tribunal.

Act on concerns as soon as they arise

It’s important that an investigation takes place every time a concern is raised. All too often, we hear of situations where poor behaviour or performance has gone unchallenged until a manager reaches breaking point. Acting on concerns early can stop small issues escalating.

This doesn’t always require a lengthy or complex process – sometimes it can be as simple as having an informal conversation first, making people aware of the issue and giving them a chance to improve or correct a situation before any further action is considered or required.

How to approach an employee investigation

Plan out in advance who will conduct each stage of the process. 

In disciplinary matters there will usually be an investigation, a disciplinary hearing, and possibly an appeal if one is raised. At each stage, it should be a different person reviewing the case with fresh eyes. Everyone involved must remain as impartial as possible, and should have no prior knowledge of the case until it’s their turn to be involved.

In grievance matters it is sensible that the person who hears the grievance then carries out any follow up investigation before reaching their conclusions. A different person should hear any appeal that is raised.

In smaller businesses, it may not be feasible to have a different senior staff member handle each stage. In these cases, do what you can to keep the process fair, such as bringing in an external HR consultant.

It’s also essential that you familiarise yourself with your own company’s procedures and follow them closely. Failing to comply with your own internal process could see decisions overturned at appeal, or not upheld if the case reaches tribunal.

Keep the investigation confidential

This one sounds obvious, but it’s one of the most common ways investigations break down: managers or employees discussing the situation amongst themselves. Make it clear to everyone involved that the investigation is strictly confidential and not to be discussed.

Make sure the employee(s) involved understand why the investigation is taking place, and give them a realistic idea of when you expect it to conclude. If it runs over that timeframe, keep them updated rather than leaving them wondering what’s going on.

Depending on the circumstances, in potential disciplinary matters, you may decide to place an employee on paid suspension pending the outcome. This should only be done after a risk assessment of the situation has been conducted and documented. In rarer cases, it may not be appropriate to inform employees that an investigation is underway at all.  For example, if there’s a risk they could destroy evidence, or that it may create greater tensions in a team.

Base your decisions on facts, not opinions

Your main aim throughout is to establish the facts. Opinions are not factual, and whilst there may be an appropriate time to take differing viewpoints into consideration, you shouldn’t allow yourself to be swayed by them. Instead, base your decision-making about the investigation on the factual evidence in front of you. This is critical.

Investigations can sometimes bring up emotional responses, and it’s important to listen and understand what someone is going through. It is appropriate to show empathy and kindness if individuals are upset (after all we are in the HUMAN business!) but any action taken as a result of the investigation must be based solely on facts.

If, during a disciplinary process, any employee raises new concerns that weren’t part of the original investigation it is appropriate to document any decision about whether or not these are added to the allegations under investigation, and ensure that any such decisions are communicated to the involved parties. 

If an employee under disciplinary investigation raises their own concerns, for example, that they’re feeling bullied it’s appropriate to ask whether they’d like to raise a separate grievance. It’s very difficult to run a fair disciplinary process if you haven’t properly established the facts and followed up on everything the investigation has surfaced.

Ask open questions and create a safe space

Ask open questions, and be warm and encouraging throughout. Let everyone involved know that you’re there to listen, not to judge. The more comfortable an employee feels opening up to you, the more information you’re likely to uncover that can help your investigation.

Stay relaxed and be yourself as this will help put the employee at ease. Open questions give people the space to talk, and give you the chance to really listen. Closed questions, on the other hand, will initially limit the information you’re able to gather; but they are useful as you progress, to confirm details and check understanding. Remember: your role isn’t to judge someone’s actions, but to fairly evaluate what happened and recommend appropriate next steps.

What information do you need to gather?

Every investigation will have a different set of requirements. This could include reports, witness statements, emails, whatsapp or other messages, internet usage data, documents & spreadsheets, expenses claims, travel records, phone call recordings, CCTV footage, holiday records, or return-to-work forms. Use every resource available to you; the more evidence you gather to support or refute the allegations, the better.

As the investigator, you want to be confident you’ve explored every avenue and reached a fair conclusion. And remember, the outcome doesn’t always have to be to recommend disciplinary action, it could be additional training, mediation, a performance improvement plan, or in some cases, no further action at all.

Know when you’ve done a good job

If you feel that you can stand by your investigation and that if someone were to inspect it, they will find that you had done everything you could and you had been fair and accurate, then you have likely done the job well!.

If you’re still unsure or feel that you need help from a team of experts, the team here at vivoHR would be more than happy to help. Just get in touch on 01252 757359 or hello@vivohr.co.uk