THE ROLE OF AN INVESTIGATION OFFICER IN THE WORKPLACE

WHAT IS AN INVESTIGATION OFFICER IN THE WORKPLACE?

The role of an investigation officer is to examine workplace disagreements, incidents and allegations of misconduct. They assess all available evidence, including interviewing employees, reviewing documentation and gathering any other relevant information needed to establish the facts. 

WHAT IS THE PURPOSE OF AN HR INVESTIGATION OFFICER?

The purpose of an HR investigation officer is to provide an impartial perspective, helping to eliminate bias throughout the process. Workplace situations can be challenging for employers to navigate. Before any decisions or disciplinary action can be taken, a thorough investigation must first be carried out. 

This comprehensive process enables employers to make informed decisions based on all the available evidence. Otherwise, a business may struggle to demonstrate that it acted fairly if its decisions are challenged at an employment tribunal.

WHY IS AN INVESTIGATION OFFICER NEEDED IN THE WORKPLACE?

It is not enough to just decide to call a hearing and issue a warning to an employee or dismiss an employee. A judgement on the case needs to be made on the facts of the situation, which in turn can only be established by carrying out a thorough and unbiased investigation. This means appointing someone as objective as possible to ensure a fair decision.

Common situations that may require an investigation officer include: 

• Allegations of misconduct or gross misconduct
• Grievances raised by employees
• Bullying or harassment complaints
• Discrimination or victimisation allegations
• Health and safety incidents or workplace accidents
• Theft, fraud or other suspected criminal activity
• Breaches of company policies
• Whistleblowing concerns
• Unauthorised absence or repeated misconduct
• Conflicts between employees where the facts are disputed

CONDUCTING A WORKPLACE INVESTIGATION

1. Receive and Assess the Complaint

The investigation begins by receiving the complaint and assessing its nature, seriousness and urgency. The first step is crucial for determining whether an investigation is required. 

2. Plan the Investigation

An investigation plan is created, outlining the allegations, evidence required, witnesses to interview, timescales and any relevant company policies or procedures to follow.

3. Take Temporary Measures if Necessary 

Whilst an investigation is taking place, temporary measures might be necessary to prevent disruption to a working environment. This can include adjusting duties, allowing certain staff to work from home or suspending employees.

4. Collect Evidence

The investigation officer gathers all relevant evidence, including documents, emails, CCTV footage, policies, records and any other information that may help establish the facts.

5. Interview Both Parties 

Interviews are conducted with the complainant, the respondent and any relevant witnesses. Each person is given the opportunity to explain their account of events. This step is crucial for providing all parties with an opportunity to present their side. 

6. Evaluate All the Evidence and Reach an Outcome

All evidence is reviewed objectively to establish the facts. The investigation officer assesses these findings without making assumptions or showing bias.

7. Prepare an Investigation Report

A detailed investigation report summarises the allegations, evidence gathered, witness statements, findings and conclusions. This detailed report provides decision-makers with a clear and impartial record.

8. Communicate the Outcome and Take Necessary Steps 

The findings are communicated to the appropriate parties, providing employers with the information needed to determine the next steps. This may include disciplinary action, mediation, additional training or deciding that no further action is required.

9. Ensure All Documentation is Up to Date

All investigation records, reports and supporting evidence should be securely stored and accurately documented, creating a complete audit trail should future reference be required. Accurate documentation helps safeguard employers should the outcome ever be challenged. 

WHAT ARE THE RISKS OF A POOR INVESTIGATION? 

A poorly handled workplace investigation can have serious consequences, including employment tribunal claims, reputational harm and reduced productivity. It can also affect employee morale, as employees may lose confidence in the fairness of workplace processes, resulting in increased turnover. Overall, poor investigation practices can expose your business to legal and financial risks that could have easily been avoided.

A poor investigation can make it difficult to demonstrate that any subsequent action was reasonable and fair. As a result, any dismissal may be deemed unfair, exposing the employer to additional legal and financial risk. This is because the investigation process may fail to comply with the ACAS Code of Practice on Disciplinary and Grievance Procedures, potentially increasing any employment tribunal award by up to 25% where an employee is successful in their claim.

HOW CLOVER HR CAN HELP WITH WORKPLACE INVESTIGATIONS

At Clover HR, we offer expert consultancy on how to carry out HR investigations. Discover how we can support your organisation through any challenge or workplace investigation. Fill in our contact form, give us a call on 0330 175 6601 or email us at info@cloverhr.co.uk. Our specialist team is here to help your business flourish with practical, professional HR support tailored to your needs.