The objective of an investigation is to determine, on the balance of probability, the facts of the matter. This means we need to speak with all the relevant actors involved in the situation, evaluate the various narratives, consider any evidence provided and then document a finding.
We always approach investigations from a neutral point of view and apply a rational, structured approach to the investigative process. This is important because most investigations stem from situations that involve multiple issues, claims or allegations. Different witnesses will have different perspectives, and there are always two (or more) sides to a story.
Individual narratives often overlap; it’s rare to find an issue that is entirely self-contained. Also, the individuals that will be interviewed as part of the investigation are all stakeholders in the outcome, with opinions and agendas that can vary.
For example, an employee who has raised a grievance has usually done so because they genuinely believe in their cause. This means that they are emotionally invested in the outcome. Similarly, other persons named in the grievance will have a vested interest in the outcome, especially where there are allegations against them.
As part of the investigation pre-work, we apply a “separate and clarify” approach. We review all the aspects of the matter, to identify all of the components of the grievance or disciplinary situation, and establish the relationships between them. We then work through each one methodically, ensuring that there is clarity over each contributing issue in the overall time line and putting together an interview strategy. This also helps ensure that the right people are interviewed during the investigation.
We ask to see any supporting evidence that’s relevant to the matter. This could be any number of things, including emails, instant message or “chat” logs, performance appraisal documents, your policies and procedures…anything that relates to any of the issues that form part of the investigation. This includes any dialogue about the issues (emails, notes of conversations or chat logs) between any of the persons involved in the situation.
This is important because if it later comes to light that there was evidence which was not shared but would have likely influenced the outcome of the investigation, that could make the outcome vulnerable to a successful appeal or worse, reflect badly upon you in any subsequent Employment Tribunal.
Note that we’re not talking about legal discovery in the context of an investigation but we advise full disclosure to prevent any future complications.
Based on the original complaint and the supplied evidence, we will put together a timeline of events. We will also identify which individuals need to be interviewed as part of the investigation. Once this is done, we will ask you to assist with arranging an interview schedule.
Generally, we prefer to conduct the interviews in person. We find a face-to-face session is far more effective for talking through the issues. This can help us establish a rapport with the interviewee and put them more at ease. It also helps us pick up on any non-verbal communication cues and sometimes these can be important. For in-person meetings, we would normally ask you to arrange for a suitable meeting room within your offices for this interview. In most cases, it is helpful to have one of your HR or administrative staff in attendance both as an observer and note-taker.
Since the Covid pandemic, it is now much more common to hold interviews over a video conference (e.g. Zoom, Microsoft Teams, etc.). If it is not possible to arrange a face-to-face session either in person or via video, then we can conduct the interview by telephone. This is less desirable, especially for interviewing persons who are central to the investigation, but may suffice for minor witnesses.
We usually do not take audio or video recordings of grievance or disciplinary meetings, and instead use written notes to summarise the essential points of the discussion. However, in an especially difficult or highly technical situation, a recording may be made with the consent of all parties.
Once all the interviews have been concluded, we will produce a comprehensive and detailed findings report. This will be based an analysis of the testimony from the interviews and all the evidence provided. All documented findings will be accompanied by explanatory rationale and citing relevant evidence.
The time taken to produce the findings report can vary, depending upon the complexity and scale of the investigation. However, we understand the need for swift delivery and most reports are delivered within a one or two weeks of the final investigation interview.
Once the findings have been documented in our report, we can discuss the appropriate next steps with you. As the employer, you must remain the decision maker, but we can provide you with advice and recommendations.
Contact Us
