Investigation templates toolkit

What is a Workplace Investigation?

The purpose of an investigation is to collect all the relevant information and evidence relating to an alleged misconduct.

Making decisions on a workplace disciplinary or grievance without reasonably completing a fact-finding exercise may render any subsequent decisions or actions taken unfair or unlawful, which can expose the organisation to the risk of legal action.

Undertaking an investigation will often be required as part of a disciplinary or grievance process. In order to ensure that the investigation was fair and appropriate it is good practice to plan, record and invite correctly.

Investigation templates are essential for managing a low-risk, compliant Investigation process.

Common mistakes

Understand the common mistakes employers can make when managing this area of HR, helping you reduce risk, prevent unnecessary costs and ensure the process is handled fairly, consistently and correctly.

• Starting with a conclusion – Conducting an investigation to prove an allegation rather than establishing what actually happened.
• Failing to gather relevant evidence – Relying on one account without considering documents, witnesses or other available information.
• Ignoring contradictory evidence – Disregarding information that does not support the original allegation.
• Asking leading questions – Framing questions in a way that encourages witnesses to confirm a preferred version of events.
• Allowing conflicts of interest – Appointing an investigator who is personally involved in the matter.
• Failing to keep proper notes – Not maintaining a reliable record of evidence and investigation meetings.
• Taking too long without explanation – Allowing an investigation to drift without keeping those involved informed.
• Confusing investigation with disciplinary action – Treating the investigation as a disciplinary hearing rather than a fact-finding exercise.

What is a typical investigation process workflow?

Here we show you which resources to use to effectively investigate an allegation of misconduct, taking into account the different decisions and directions that are likely / possible.

Following this flowchart will ensure that you factor in all eventualities, follow legal / code of conduct or best practice processes, communicate effectively, and reduce the risk of things going wrong.

FAQs

What is a workplace investigation?

A workplace investigation is a structured process for establishing facts and gathering relevant evidence about an issue or allegation at work.

When should an employer investigate?

An investigation may be appropriate where an allegation or concern requires facts to be established before the employer decides what action, if any, should follow.

Who should conduct an investigation?

The investigator should be sufficiently impartial, appropriately skilled and independent of the issue where possible. The choice will depend on the circumstances.

What evidence should an investigation consider?

Evidence may include documents, emails, records, witness accounts, CCTV, system information and other relevant material, depending on the issue being investigated.

Should an investigation be documented?

Yes. Appropriate investigation records should show what was considered, who was interviewed, what evidence was reviewed and the findings reached.

Why use HRDocBox to support workplace investigations?

HRDocBox combines real-world HR experience, subject-matter expertise and commercial understanding to support effective workplace investigations with practical, tried-and-tested resources. With instant access, editable documents, ongoing updates and 12 months' access, you get practical HR support when you need it.