How to Conduct HR Investigations

An investigation is the fact-finding stage of a formal disciplinary or grievance process. Its purpose is to gather evidence, interview relevant witnesses and reach conclusions about what on the balance of probability occurred. It should be conducted by an investigator who has no prior involvement in the case and who makes no disciplinary decisions. A disciplinary hearing is a separate stage at which the subject has the opportunity to respond to the findings and at which a separate, more senior manager considers the evidence and decides what, if any, disciplinary action is appropriate. These two stages must always be kept separate and conducted by different individuals.

Not every conduct concern requires a formal investigation. Many workplace issues are most appropriately addressed through informal management intervention or a direct conversation about expectations, without the need for a formal investigative process. Formal investigations are typically most appropriate where allegations are serious, where informal approaches have been unsuccessful or inappropriate, where the individual denies the allegation or where the situation requires a documented and legally defensible process. Taking appropriate advice before deciding how to respond is always worthwhile.

A manager may conduct an investigation into a concern within their team in some circumstances, but care must be taken to ensure the investigator has no prior involvement in the events under investigation, no personal stake in the outcome and no line management relationship with the subject that would compromise their impartiality. Where these conditions cannot be met, an alternative internal investigator or an independent external investigator should be appointed. In cases involving serious allegations, complex circumstances or allegations against senior individuals, independent investigation is almost always the more appropriate and defensible approach.

The ACAS Code of Practice on Disciplinary and Grievance Procedures sets out the minimum standards that employers are expected to follow when managing disciplinary and grievance situations. Employment tribunals are required to take the Code into account when considering whether an employer has acted reasonably, and failure to follow the Code can result in an uplift of up to twenty-five per cent on any compensation awarded. While the Code does not have the force of statute, it represents the standard against which employment tribunal decisions are assessed and adherence to its principles is essential to the legal defensibility of any disciplinary or grievance process.