When to Conduct an independent Investigation
Following allegations against high-profile individuals, including a costly Strictly Come Dancing investigation, the pressure on organisations to run successful, timely, and cost-effective investigations has increased.
A workplace investigation can be triggered in several ways:
- Allegation(s) of misconduct or gross misconduct against an employee.
- A grievance.
- A whistleblowing disclosure.
- A complaint.
Investigations can be complex, involving careful preparation, terms of reference, witness statements, reviewing and corroborating evidence, and providing an evidence-based report. Ensuring a fair process, accurate note-taking, and managing overlaps with other matters, such as sickness absence or grievances during disciplinary procedures, are also key considerations. Employers must assess whether a complaint qualifies as whistleblowing. If it does, the whistleblower is protected by law in cases of criminal offences such as fraud, health and safety concerns, company law violations, or when someone is believed to be covering up wrongdoing.
To protect everyone involved, the employer must ensure they follow a fair procedure, with an investigation being a critical part of this process. If a reasonable investigation is not carried out, any decision made could be deemed unfair, potentially leading to legal action. The Acas Guide to Discipline and Grievances at Work states, “Employers should carry out any necessary investigations, to establish the facts of the case.”
Investigations should seek to determine what can reasonably be established regarding the issues or concerns raised and make recommendations on whether further action is necessary based on the investigation’s findings. An investigation may also offer learning opportunities and recommendations for improvement.
Many of our clients request an independent investigator to help fairly, independently, and effectively establish the facts before deciding on the most appropriate course of action. This is particularly important in cases such as:
- When the matter involves a CEO, Director, Headteacher, shareholder, or potential gross misconduct.
- When there are sensitive, multi-faceted allegations and substantial evidence to investigate, corroborate, and report on.
- Where the skills, expertise, and independence of an external investigator ensure a fair establishment of the facts and determination of whether formal, informal, or no further action is needed, along with insightful recommendations.
- To mitigate allegations or concerns of bias, pre-determined outcomes, or breaches of confidentiality.
- Where the employee intends to litigate and requests an independent investigator to ensure a fair and credible outcome.
- To help preserve positive working relationships with internal colleagues.
- When the skills and knowledge of HR professionals are needed to navigate relevant policies and procedures, mitigating risk for the organisation.
Benefits of an External Independent Investigation:
- Ensures the investigator is not connected to any parties involved in the complaint, maintaining objectivity and neutrality throughout the investigation, including reviewing both supporting and contradictory evidence.
- The investigator remains detached from internal workplace dynamics, ensuring trust in the process. This is particularly important in sensitive matters such as harassment, discrimination, or ethical complaints.
- The investigator is unaffected by the investigation’s outcome and can provide sound recommendations based on evidence.
- They can dedicate time to ensure a timely conclusion.
- They are cost-effective, reducing the time someone may spend suspended, avoiding potential reputational damage, and preventing inadequate investigations that fail to address cultural issues.
- There is an opportunity to access HR technical experts and legal support, where appropriate, to leverage an effective resolution.
Best practice dictates that an investigator should remain impartial and act fairly and objectively.
With our significant workplace investigation knowledge and expertise across multiple sectors, Birch-HR can assist all organisations in managing and responding to concerns about serious allegations.