With
employment tribunal claims still on the rise, it's perhaps no wonder that
organisations are placing ever more importance on conducting their workplace
investigations accurately and consistently.
The risks
of not doing are impossible to ignore. A poorly handled grievance or
disciplinary investigation, for example, can incur further unnecessary
financial outlay e.g. having to re-investigate incomplete areas as part of a
hearing or appeal. Or if the matter reaches employment tribunal, it's paramount
to have a robust report in place that can stand up to scrutiny and challenge,
as well as an investigator confident to defend their methodology and findings.
Any
workplace investigation must of course follow the organisation's policies and
guidelines prescribing the mandatory stages of the formal process. For most
internal Investigating Officers, such procedures provide invaluable reassurance
that they are following the necessary steps in their evidence gathering,
interviewing and report writing. (Whether the policies can also impart the mindset
of a competent investigator is a matter for another blog post...).
What we
tend not to see in organisational investigation procedures is 'defining the
Terms of Reference' – fundamental in our eyes, and which applies to any type of
allegation or organisation. After the investigator has met with the
Complainant, they are then a position to define what exactly is being
alleged, teasing apart the original complaint/grievance and interview answers
into a coherent one, two, three – however many – separate allegations. Our
investigators will document these succinctly, alongside a declaration of agreed
next steps and assertions of responsibilities and confidentiality.
Having this
summarised on paper is valuable for a number of reasons:
-
The
Investigator has the opportunity to take stock at a crossroads section of the
investigation, and if there is indeed a case to answer, can proceed with
clarity and confidence.
-
The
document adds integrity and credibility to the process, and, if appropriate can
be shared with other stakeholders (e.g. parties or Trade Union representatives)
-
They
act as a reference point to inform how any subsequent issues/queries are
handled
-
The
Terms can be added into the Report to save time and add weight that a clear
process was followed
There have
been countless times when we have needed to refer back to the Terms of
Reference for a case at various points within and beyond the investigation, and
therefore strongly recommend that organisations consider building it into their
standard investigation procedure.
