When there is a possible workplace disciplinary or grievance issue, the employer should carry out an enquiry into the circumstances. This is known as an ‘investigation’. The investigation report will likely be one of, if not the most, important and scrutinised documents in the investigation. It will direct the employer’s next steps. In this blog, we provide top tips on how to get the report right.
The report should, to some extent, tell the story of the investigation and give the reader confidence that the investigation was thorough and fair. If matters do end up in a tribunal the investigation outcome report is likely going to be one of the first documents the judge will read and will inform their first impression of the employer. As such, it pays to get this stage right and have robust systems in place to follow the same approach consistently.
However, writing an investigation report doesn’t have to be daunting. One could view it as an opportunity to take a journey that leads to – hopefully positive – change. A uniform reporting structure improves the consistency of reports and provides investigators with a reporting format to follow and reduces the time spent preparing investigation reports.
What is the make-up of a robust investigation outcome report?
- Introduction
Start off the report with the “housekeeping” information. This relates to a brief introduction of the events which led to the management being made aware of concerns; a summary of the sequence of events up to the appointment of the investigating officer; and any relevant background information. Remember – this is your introduction to the case, so you need to introduce the basics:
- Who?
- What?
- When?
- Where?
- How?
- Background
Keep in mind your “audience” for the report. In most cases this will be the Headteacher who will have some knowledge of the matter, but this can also be a Governor or Union Representative who has no knowledge of the intricacies of your setting, specifics of job roles and processes or the finer points of your policies. Not everyone reading your report will be an expert in your field. In a report, write for the non-specialist.
- Investigation Purpose
You should note the type of allegation which is under investigation and the terms of reference for the report. Include a statement that describes the mission and objectives of the investigation.
- Interview summary
List the investigation interviews that took place throughout the investigation. Make sure the list is in chronological order. Where interviewees had to be re-interviewed clearly state so.
- List of Evidence
As simple as it sounds: list any and all evidence collected or reviewed during the course of the investigation. These can include statements, CCTV, personnel files, policies and procedures, reports, photographs, etc. Remember to include the date the evidence was collected.
- Findings and analysis
Describe the evidence found and how the evidence was evaluated. If there are mitigating factors that have contributed in some way to the situation, they should be described in full, and relevant contribution evaluated. Outline consistencies and inconsistencies and give explanations if known. Avoid opinion or interpretation of possible motives.
- Conclude the report (with recommendations)
After reviewing all of the investigation materials, does the evidence support a finding of breach of policy? Some policies will ask the IO to make recommendations as to how to proceed. However, check the wording carefully. It is not up to the IO to make decisions.
- Supplementary evidence
Cover issues which you have identified but which are not directly related to the allegations or objectives of the investigation (where applicable).
- Keep it simple and factual
This one is self-explanatory! Simplify. Talk straight. Plain words. To the point. Facts no opinionised interpretation of motives!
- Get a second opinion
If you opted to carry out an investigation internally, ask your HR provider or legal services provider to read your investigation outcome report prior to submitting it to the instructing party. The average senior executive wants something straightforward and unambiguous.
Having someone with the right experience to guide you through the investigation process can be invaluable and make it a much less daunting task, as well as avoiding the costs of getting it wrong. We can be there when you need us, providing an independent and experienced investigator who will remove the worry and stress from your team. If you would like to find out more about this service, please click here to contact us or call 01924 827869.
Finally, case management solutions such as SAMpeople (holistic HR software) can simplify the investigation reporting process by recording actions, documents and evidence securely online, providing detail of progress of discipline, grievance complaints, absence and capability cases quickly. You can also seamlessly prepare page numbered case bundles by simply adding and removing documents as required. If you would like to find out more about SAMpeople, please click here or call 01924 907319.
