The Importance of Documenting Workplace Investigations
Documenting a workplace investigation is not just a procedural formality; it is a critical part of legal compliance that ensures transparency and fairness, and reduces legal risk .
Each stage of the investigation should be properly documented, to ensure a well-managed process.
This will typically start with a detailed investigation scope, which sets out the issues to be investigated, any likely sources of evidence (such as relevant documents, correspondence, policies or witnesses) and, importantly, what precisely the investigator is being asked to do.
Where the investigation involves interviewing witnesses, a detailed note of the discussion and the evidence provided by the witness should be prepared and, ideally, approved by the witness.
Finally, the investigator should set out their methodology, findings and any recommendations in a detailed investigation report, attaching notes of witness interviews and any documents considered as appendices to the report.
Here's why a properly documented process is so important:
1. Legal Compliance: In the UK, employment tribunals will usually expect a detailed written record of how an investigation was conducted, when considering claims brought against an employer.
This will assist the employer in establishing that it followed a fair procedure and reached any decisions on findings of fact based on relevant evidence, rather than an unlawful reason following a flawed process.
It is particularly important in cases involving alleged misconduct, discrimination or whistleblowing, where the evidential burden on employers can be significant.
2. Transparency: It assists in ensuring that all parties involved, including the accused, the accuser, and witnesses, can be satisfied that the process was fair and unbiased. This transparency builds trust and reduces the risk of any perceived bias.
3. Evidence Preservation: It provides a contemporaneous record of the matters investigated, that might be relevant for future legal proceedings. For example, a witness statement taken shortly after the alleged incidents being investigated is likely to have more probative value than a much later statement which relies on a fading memory of crucial details. Similarly, collating all relevant documentary evidence at the matter reduces the risk of any unwelcome surprises being disclosed as part of a future claim.
4. Learning and Improvement: It can provide valuable insights for training managers, identifying remedial action to prevent repeat incidents or improving an employer’s policies or procedures.
Our expert employment law solicitors all have many years’ experience advising individuals who are in your position. We will be able to guide you through the process and to help you secure the best possible outcome.
We offer a range of services, so please contact our friendly customer services team to discuss further via hello@kilgannonlaw.co.uk or 0800 915 7777.
This article is for information purposes only and is correct at the time of publication. It does not constitute legal advice 31.10.24