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In business managers will frequently be required to conduct formal investigations in the course of managing employees. These investigations may be necessitated by the conduct of an employee, or may be a response to an employee complaint. In each case, the investigating officer will need to ensure that the investigation is conducted in accordance with the applicable procedure – for example, the disciplinary or grievance procedure.

The investigator must have sufficiently detailed information of the matter before the investigation begins. Only if the investigator has this information will he or she be able to determine the scope of the investigation that is required. In the case of grievances or other employee complaints, the employee will often provide insufficient information at the outset to allow a detailed investigation to take place. In this case, the first step for the investigator will be to request the additional information required.

Once the issues to be investigated have been determined, the investigator should identify appropriate witnesses. As the investigation progresses and further facts come to light, it may be necessary to speak to other witnesses in addition to those initially identified.

The most thorough and fair investigation can be undermined by an inadequate investigation report. It is important that the relevant provisions of any applicable procedure should be consulted in determining the form and content of any report. However, the report should ideally set out the evidence that the investigator has considered and provide a summary of the information obtained. This should include the identity of witnesses, except where anonymity has been agreed.

When drafting the document, careful consideration should be given to the circulation of this document, which will depend on the nature of the investigation and the terms of the relevant procedure. However, the investigator should bear in mind that in most cases the report will be a disclosable document for the purposes of any subsequent legal proceedings and may be requested by individuals under the Freedom of Information Act or the Data Protection Act.

Extract from How to conduct internal investigations By Diane Gilhooley 25 September 2008

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