Workplace investigations have become an increasingly prevalent part of “business as usual” for many organisations. Scrutiny of how companies conduct investigations has increased significantly in recent years – and this, it seems, is only set to continue.
From minor grievances to the most serious of allegations, ensuring workplace investigations are handled appropriately is crucial for maintaining employee trust, organisational integrity and protecting a company’s reputation.
In this article we explore the key considerations, challenges and practical steps for employers when managing workplace investigations.
The rise of workplace investigations
In recent years, we have seen a significant increase in the frequency of workplace complaints. These can range from minor gripes to serious allegations of harassment and broader concerns regarding workplace cultures and toxic working environments. Once a concern has been raised, organisations are more accountable than ever to ensure that the matter is investigated thoroughly and that a robust investigation process is followed.
This accountability arises, in part, from new legal obligations, heightened public interest and increased regulatory scrutiny. The new Protection from Sexual Harassment laws that came in to force in October 2024 not only introduce the legal requirement for employers to proactively prevent harassment at work but also reinforce the need for employers to rigorously investigate such conduct once it has occurred.
In this context, the approach to workplace investigations has shifted. Once a formal complaint is raised, it is not appropriate to ignore the issue, attempt to deal with it informally or conduct an inadequate or partial investigation. Employers must ensure their processes and investigation outcomes are rigorous, impartial and capable of withstanding both internal and external review.
Key considerations for workplace investigations
1. Determining the scope of the concerns
When a complaint is made, the first step is to determine the nature and severity of the allegations. Consider factors such as the seniority of the accused, the risk of reputational damage and whether external regulatory bodies need to be informed. Allegations of workplace harassment or discrimination should be treated with the utmost care.
2. In-house vs external investigators
Depending on the nature of these allegations, the next step is to consider who will conduct the investigation on the company’s behalf. Many investigations can, and should, be conducted internally by HR and/or business managers. However, there may be circumstances where engaging external expertise is appropriate. External investigators are often used for serious or high-profile allegations, where there is limited internal capacity to undertake a complex and time-consuming investigation or where internal impartiality may be called into question.
3. Training and resources
Investigators, whether internal or external, must understand clearly the scope of the allegations and the remit of their role. Adequate training on how to conduct robust and impartial investigations should be routinely provided. Specific training should be given to investigators appointed to handle sensitive matters such as harassment allegations. Clear guidelines and policies and access to template letters and scripts ensure consistency in the approach taken by investigators and will assist companies to show that a robust investigation process was followed.
4. Managing practical details
Once the investigator has been appointed and trained, they will need access to relevant documentation and witnesses, so that the matter can be dealt with swiftly. All investigation meetings and grievance hearings should be documented by means of the attendance of a professional notetaker, a recording so that a verbatim transcript can be created, or a summary note taken by an HR colleague. Whichever method is used, this should be clearly communicated to the meeting attendees ahead of time. The accuracy of the meeting note must be agreed by all attendees after the event.
5. Confidentiality and anonymity
Confidentiality is a complex issue. Employees may request that the concerns raised remain confidential or that their own identity is not disclosed to the accused. It is rarely possible to guarantee this, and investigators should explain this upfront to manage the employee’s expectations from the outset. The investigator should explain why it is important that allegations are addressed transparently with the accused and that this will usually include explaining their origin. The investigator should also reassure the employee that being victimised for raising genuine concerns is unlawful and will not be tolerated by the company.
Investigation outcomes and reports
Once the investigation is complete, the outcome should be detailed in a written report. This report should record the original allegations, the scope of the investigation undertaken and the conclusions reached, together with the rationale for such conclusions. A detailed written report serves several purposes: it assists in reassuring the complainant that their concerns have been taken seriously; it provides a clear record of the investigatory process undertaken; and it can also show that the conclusions reached were reasonable, based on the detailed investigation conducted.
The detail and scope of personal information contained in the report should be reviewed carefully to balance transparency with the confidentiality of others involved in the investigation. For this reason, organisations may choose to produce two versions of the report: one for the complainant, and one for confidential use and for disclosure to regulators or in the event of future legal proceedings.
Conclusion
Workplace investigations are an evolving challenge for employers that require careful planning, training and execution. Organisations must make certain that their processes are robust, impartial and transparent to ensure that allegations are addressed promptly and thoroughly. By applying these principles, employers can navigate the complexities of workplace investigations with confidence and integrity.
