Workplace Investigations top tip number three: Defining the Scope and Objectives 

Chloë Leyland, Employment Partner at gunnercooke, has over 15 years post qualification experience in employment law, and is an expert in how to carry out a workplace investigation. 

In this series, Chloë provides her top five tips when conducting a workplace investigation to ensure a smooth and impartial process and that businesses are adhering to the law.  

If you’re up to date with our articles, you’ll know that Chloë has already discussed what a workplace investigation is, as well as who should carry one out. In this third part, she examines defining the scope of the investigation itself. 

Defining the Scope and Objectives 

The statutory ACAS Code on Disciplinary and Grievance Procedures requires employers to carry out a reasonable investigation.  

Any failure to do so could leave the employer open to criticism in the tribunal and potentially a finding that a dismissal is unfair because it has not conducted a fair investigation.  

In addition, any compensation awarded to a claimant could be increased by up to 25% by the employer’s failure to follow the ACAS code.  

At the outset of an investigation, it is essential to define the Scope and Objectives:  

• The Scope will set out what the investigation aims to achieve, such as determining the facts, assessing policy breaches, or identifying any further action which may need to be considered (for example, commencing a disciplinary investigation if allegations come to light following a grievance investigation).  

• In a disciplinary investigation this will mean carrying out a fact-finding exercise to establish whether there is sufficient evidence to progress the matter to a disciplinary hearing.   In these cases, the allegations should be clearly defined, however they will often be clarified, or modified during the course of the investigation, depending on the findings.  

• In a grievance hearing the scope will usually be defined by the grievance letter.  However, this should also be clarified in the grievance meeting by the investigator and noted.  

• It should also be clear what the investigator is being asked to do with the information gathered. Internally, the investigation officer may be asked to decide whether the matter should proceed to a disciplinary hearing for example.  Whereas, in an external investigation, the investigator may be asked to make recommendations regarding the next steps. 

The next step is to review the initial information which could include the formal grievance or allegations of misconduct. You will then need to review the relevant policy and any internal guidance to ensure that the investigation complies with the relevant policy and timeframes.  

Once you have reviewed the initial information you can start to develop an Investigation Plan which should include the list of issues to be investigated, relevant witnesses, key questions to be asked and the relevant supporting documents.   You can also include a timeline and start to diarise appointments with witnesses.  

Keep an eye out for tip number four, where Chloe goes into different areas you need to consider when carrying out a workplace investigation, such as talking to witnesses, confidentiality and how to ensure you stick to your company’s policies and procedures.