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HR Investigations – Tips, Traps & Regulations

July 17, 2023

We regularly carry out independent investigations to help employers get HR investigations right. Sometimes this involves supporting an employer directly if they do not have their own in house HR team. Other times, we support HR teams that need extra resource to carry out an independent investigation for example into alleged serious misconduct.

In this article we summarise tips and traps for investigators as well as what to bear in mind as regards regulations.

There are several important steps an investigator should follow and some key considerations to keep in mind. It’s crucial to maintain professionalism, adhere to any regulatory guidelines and ensure fairness throughout the investigation process. Here are some tips and traps for investigators. We also take a look at regulatory issues to keep in mind:

Ten tips for Investigators

  1. Understand the scope: Clearly define the scope and objectives of the investigation to ensure a focussed approach.
  2. Maintain Independence: Ensure impartiality and independence throughout the investigation process to avoid an conflicts of interest.
  3. Plan the investigation: Develop a well-structured investigation plan outlining the steps, timelines, and resources needed for a comprehensive inquiry.
  4. Preserve confidentiality: handle information and evidence with strict confidentiality to protect the parties involved. If something cannot be kept confidential be open about this so as to ensure continued confidence with those participating in the investigation.
  5. Gather evidence: collect relevant documents, records, testimonies from witnesses to support and inform findings.
  6. Conduct interviews: interview relevant individuals involved including complainants, respondents, witnesses and use a fair and consistent approach.
  7. Document findings: keep detailed and accurate records or all investigation activities including interviews, evidence gathered and analysis conducted.
  8. Analyse the evidence: evaluate the collected evidence objectively and impartially to draw reasonable conclusions and make informed recommendations.
  9. Communicate with stakeholders: provide periodic updates to relevant parties such as management, HR in house legal counsel whilst maintaining appropriate confidentiality.
  10. Prepare a final report: summarize the investigation findings, conclusions and recommendations in a clear and concise report.

Traps for investigators to avoid

  1. Bias: avoid bias and prejudgement. Don’t draw conclusions prematurely without having reviewed the relevant evidence first.
  2. Breach of confidentiality: ensure sensitive information is kept confidential or that those providing it are aware when it may be disclosed. Share information only with authorised individuals involved in the investigation.
  3. Timeliness: conduct investigations promptly whilst memories are fresh and to prevent undue delays in resolving the matter.
  4. Conflict of interest: disclose any potential conflicts of interest and take appropriate steps to ensure objectivity and impartiality throughout the investigation.
  5. Violation of privacy: Respect privacy rights of all individuals involved and ensure information is shared only on a need-to-know basis.
  6. Inadequate documentation: thoroughly document all investigation activities ensuring accuracy, completeness and proper storage of records.
  7. Failure to follow established policies: adhere to relevant policies, procedures and regulatory guidelines relevant to the particular investigation.
  8. Inadequate communication: keep effective communication with all parties involved, keeping them updated on the investigations progress at relevant times.
  9. Lack of procedural fairness: ensure parties are treated fairly, with equal opportunities, avoiding discrimination or breach of any rules of accompaniment that may be appropriate and allow individuals to respond to allegations.

Professional regulatory issues to bear in mind

  1. Legal obligations: investigate in compliance with applicable laws, regulations and guidelines governing the specific industry or profession.
  2. Privacy & data protection: adhere to data protection regulations and ensure personal information is handled securely and in line with any relevant consents and business objectives.
  3. Professional codes of conduct: comply with the relevant code of conduct relevant to your role and that of those being investigated such as teachers or other regulated professionals.
  4. Duty to report: Understand any mandatory reporting requirements such as reporting child abuse or other serious misconduct and fulfil them as required by law or regulation.
  5. Compliance with disciplinary or grievance procedure: if the investigation involves regulated professionals be familiar with the disciplinary processes and reporting requirements specific to that profession.

It is essential for investigators to consult and adhere to their organisations specific policies and requirements including any legal requirements as well as to seek advice when necessary. Staying up to date with changing guidelines is also crucial to maintain effectiveness and compliance.

Get in touch for help staying the right side of employment laws and getting HR investigation right.

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