Specialist and complex investigations

Workplace investigations can be like walking through a minefield.

The risks of getting a workplace investigation wrong are significant. In an appeal or at Employment Tribunal, the applicant may use procedural failings to undermine the actions taken by the employer. Even though the employer may have been acting in good faith, the failure to investigate properly and reasonably is the achilles heel which can result in an expensive settlement or a case lost.

The Employment Tribunals apply a test called ‘The Burchell Test’ to assess if an employer has dismissed fairly following a reasonable investigation. Open any newspaper on any day to read about the reputational harm and financial cost of getting a workplace investigation wrong.

How do employers get it wrong?

• Using poorly trained internal investigators (or worse – untrained), who have a million and one other things to do .
• A lack of effective planning and unclear terms of reference.
• Investigations taking too long to complete.
• Poorly managed suspensions and communications with the parties.
• Poorly written reports with opaque or ambiguous findings.
• In smaller organizations with one HR person or an external HR consultant, we often hear stories of HR acting as the investigator, the adviser to the employer and the final determinations panel. Ie HR become the judge, the jury and the executioner. The conflicts of interest are fairly obvious.

It really doesn’t need to be this way. The next tab explains what a quality investigation should look like.

Getting investigations right first time.

TCM has developed a set of standards for our workplace investigators. These standards form the basis of all of our professional investigation services and investigation training courses. These investigation quality standards ensure that workplace investigations undertake by TCM are fair, thorough and robust.

TCM investigators always:

-Prepare fully and clarify the context and scope of the investigation at the outset. This includes developing clear terms of reference at the commencement of the investigation.

-Understand the legal, moral and organisational policy/procedural, frameworks relating to dignity at work, grievance, bullying, harassment and disciplinary investigations.

-Ensure that they suspend judgment and remain impartial, neutral, objective and free from bias or conflict of interest.

-Maintain effective levels of communication throughout the investigation process

-Apply rigour in their analysis of evidence and are careful in making findings supported by the facts and relevant evidence.

-Recognise the importance of seeking out mitigating or corroborating factors.

-Compile a clear, well-structured final report which will withstand
internal and external scrutiny.

-Aware of relevant tests (e.g. “Burchell”) and remain up to date with case law and precedents.

-Understand what happens after an investigation is complete and the role of the investigator at determination hearings, appeals and Employment Tribunals.

Provide all relevant information gathered during the investigation as appendices to the final report.

In addition, in some cases, TCM investigators may identify opportunities for mediation or restorative justice to help the parties to resolve an issue without the need for formal action. In these cases, you will be notified immediately and we will seek clarification from you before any action is taken.

What happens during a workplace investigation?

Each investigation is different and is tailored to the specific needs and circumstances in each case. However, the following sets out a basic framework for the investigation:

1. Request to investigate received at TCM along with key documents.
2. TCM investigator attends scoping meeting. This is an opportunity to discuss chronology, key policies, sources of evidence. key witnesses, terms of reference and timescales
3. interviews commence and additional sources of evidence are utilised.
4. Investigator submits draft report to TCM’s Head of Investigation Services for internal quality assurance.
5. Draft report is then submitted to the sponsor. This stage may include an onsite meeting to discuss the draft report face to face.
6. Final amendments are made and the investigation report is submitted with all appendices provided.

This is a summary of the investigation process. For more details please contact us on 0800 294 9787 or complete our short contact form and we’ll call you back.

Q. How quickly does it take to set up an investigation?

A. We can usually commence an investigation in 5-10 working days.

Q. Do you cover the UK?

Yes – we have a national network of TCM investigators who work across the UK. We also conduct investigations overseas and have access to investigators who speak most European languages.

Q. What happens to the notes from an interview?

The notes are typed up by the investigator and sent to the interviewee for sign off. The signed off and handwritten notes are included in the appendix of the final report.

Q. Can the subject of disciplinary action see the final report?

If the case goes to a disciplinary panel then it is generally appropriate for the subject to have sight of the final report and relevant appendices including witness statements. These can be redacted to protect relationships if required.

Q. What happens if more allegations come to light during the investigation process?

We will notify you immediately. This may result in us needing to modify the terms of reference or even stopping the investigation which we would not do without your approval.

Q. How much does it cost

Our investigations start at £795 per day plus vat. Each investigation is individually costed based on complexity, the nature of the allegations, the number of witnesses and the time required. Please contact us on 0800 294 9787 or complete a short online enquiry form to discuss costings further.