In the workplace, employers are regularly tasked with undertaking investigations following disciplinary or grievance matters, and accidents/incidents resulting in personal injury.

Workplace issues such as the above often require prompt and effective investigations to avoid escalation and ensure minimum impact to the business. An investigation undertaken correctly can greatly assist to minimise any financial, legal and reputational repercussions that may result otherwise.

So, what is a workplace investigation, and when should one be undertaken?

Essentially a workplace investigation is a fact finding process to collect all the relevant information on a matter that can then enable an employer to make an informed decision about the next steps that are required such as:

• disciplinary proceedings;
• following a complaint/grievance;
• preparing to deal with / inform your insurer / HSE with regards to a personal injury claim; or if appropriate
• to hone / change working practices and procedures to prevent a recurrence of the issue / incident / accident that gave rise to the investigation.

The extent of that investigation, and if in fact an investigation is even required, will very much depend upon the facts of the matter:

• Are the allegations / issues to be investigated such that an investigation is required?
• Are the consequences of the issue / incident such that an investigation is required (such as allegations of sexual harassment or a serious accident involving injury)?

So who should undertake the workplace investigation?

This will again very much depend upon the nature of the allegations, the seriousness of the matter, and what the potential consequences of the issue / incident are, as well as what the consequences may be if a detailed investigation is not undertaken (such as financial, reputational, or insurance issues that may arise if as an employer you fail to undertake a sufficient investigation into the issue / incident in hand).

If the incident giving rise to the investigation is an employment related matter such as a grievance, disciplinary matter or complaint of discrimination, then someone within HR may be the appropriate person to conduct the investigation or a manager within the organisation who has been trained to conduct investigations.

If the incident involves a personal injury or perhaps even death that has taken place in the workplace, then the personal responsible for Health and Safety within the business should probably conduct the investigation (once of course the Health and Safety executive /  Police have finished their investigation if appropriate).

If the allegations / incident or accident are of a more serious nature, it may well be that it is more appropriate to instruct an external/independent investigating officer.

An external investigating officer will ensure that a thorough investigation takes place with a view to the contents of that investigation report being completely independent, and undertaken by someone who has sufficient expertise and experience to reach the conclusions that will protect the business going forwards in the face of any claims, financial or reputational risks.

Where a serious incident has taken place, if only from an employee confidence and welfare perspective, it is important that a thorough investigation is undertaken with lessons learned and practices changed where appropriate, and therefore it may pay to ensure that an independent investigating officer is appointed to undertake that investigation.

So what evidence will need to be gathered as part of the investigation process?

There are two mains types of evidence that will be gathered:

1. Documentary evidence such as details of practices, policies, procedures, risk assessments, method statements, training records and the accident report form / information if appropriate, in addition to any written correspondence relating to the issues to be investigated (more relevant for employment related investigations).
2. Witness evidence which should cover the ‘who, what, where, when, how, and why’ questions regarding the issue / incident in question, as well as piecing together a chain of events / chronology.

What should any investigation report cover?

Again, the extent of the investigation and then the report will be dependent upon ascertaining:

• The facts of the matter.
• What the businesses practices and policies are and how are they relevant to the matter in question.
• What the evidence is – documentary and witness, and what this evidence states / refers to.
• What the outcome of the investigation is and recommendations. What are the findings? Was there any wrongdoing? Should practices and procedures be amended? Should further training / equipment be provided? Should any disciplinary action take place? Is any further investigation necessary?

Whatever the outcome of that investigation, it is crucial that the information gathered is kept together and secure, pending any further action such as an employment tribunal matter, or personal injury / criminal proceedings being brought.

How can we help?

Prettys has extensive experience in performing the role of ‘Investigating Officer’ and regularly undertakes investigations for its clients.  This involves gathering and analysing the evidence, asking the right questions (in the right way), and ensuring that the investigation and concluding report are comprehensive and robust.

Whether the issue concerns a grievance, harassment, disciplinary, accident or incident at work or any other workplace issue, our team will ensure the investigation is carried out systematically, objectively and fairly.

We also offer clients bespoke training sessions, equipping them with the skills and knowledge to perform their own investigations whenever the need arises.

For any support or advice on conducting a workplace investigation, contact our team today.