When workplace incidents occur, an effective HR investigation process will ensure that all concerns are addressed fairly, compliantly and professionally, whilst retaining an positive work environment..

In this blog, we will explore the key steps in the investigation process including what happens after an investigation meeting. We use a simple case study to demonstrate the investigation process.

Understanding the HR Investigation Process

The HR investigation process is designed to gather relevant information about an incident, assess evidence, and determine the next steps. A fair and thorough approach is essential to protect the rights of all parties involved while ensuring compliance with employment law.

Key Steps in the HR Investigation Process

1. Conduct the Investigation Soon After the Event

An investigation should begin as soon as possible after an incident occurs. There is no formal invite needed for an investigation meeting; it should be scheduled promptly to ensure details remain fresh in witnesses’ minds.

2. Preparation: Define Key Issues & Questions

Before conducting investigation meetings, you should outline the key issues related to the allegation and prepare a set of structured questions:

• What happened?
• Where did it occur?
• When did it take place?
• Why did the incident occur?
• Who was involved or witnessed the event?

Understanding the full scope of the incident will help in structuring the investigation effectively.

3. Clarify the Allegation

Clearly defining the allegation ensures that all parties understand the nature of the investigation. Miscommunication or lack of clarity can lead to confusion and potential legal challenges.

4. Document the Process – Notes Must Be Readable by Someone Else

Taking detailed, objective, and structured notes is essential. These records should be clear enough for someone else to understand without additional context. Proper documentation can be crucial if legal proceedings arise later. This is especially the case as if the investigation recommends disciplinary action, then the disciplinary meeting needs to be carried out by someone other than the person carrying out the investigation.

5. Gather All Necessary Information

The investigation phase is an essential stage where all relevant evidence is collected. This may include:

• CCTV footage
• Witness statements
• Emails or messages related to the incident
• Employment records
• Incident reports

A list should be compiled detailing who needs to be spoken to and what evidence is required.

6. Conclude the Investigation, Write Up Findings, & Make Recommendations

Once all evidence has been gathered, you should analyse the information, identify any patterns or inconsistencies, and conclude whether the allegation is substantiated. A formal report should be written, including:

• Summary of events
• Key findings
• Supporting evidence
• Recommendations for next steps (e.g., disciplinary action, policy changes, or no further action required)

Disciplinary Process Following an Investigation

If the investigation concludes that misconduct occurred, disciplinary procedures may follow.

1. Issue an Invite Letter with 48 Hours’ Notice

The employee should be formally invited to a disciplinary meeting, with at least 48 hours’ notice to prepare. The letter should outline:

• Details of the alleged misconduct
• Time, date, and location of the meeting
• Right to be accompanied by a representative

2. Different Manager & HR Team to Prepare for Disciplinary Meeting

To ensure impartiality, a different manager (not involved in the investigation) should conduct the disciplinary meeting, with HR providing guidance and support.

3. Review Investigation Findings & Prepare Questions

The disciplinary panel should carefully review all investigation findings before the meeting. Additionally, they should prepare relevant questions to gain further clarity.

Case Study: Workplace Fight in a Warehouse

Scenario:

Two employees were involved in a physical altercation in the warehouse. The fight was witnessed by several colleagues, and CCTV footage may be available.

Investigation Steps:

1. Who to Speak To?
   • Employees involved in the altercation
   • Witnesses present during the fight
   • Supervisors or managers on duty at the time
   • Security personnel (if applicable)
2. Information to Gather:
   • Witness statements
   • CCTV footage (if available)
   • Incident report
   • Any history of previous conflicts between the individuals
   • Company policies on workplace violence
3. Other Considerations:
   • Were there any mitigating circumstances? (e.g., provocation, self-defense)
   • Is there a history of misconduct from any party involved?
   • Does the company have clear policies addressing physical altercations?

Outcome & Recommendations

Based on the findings, the outcome will need to be one of the following:

• Formal disciplinary action (e.g., warning or termination)
• Conflict resolution measures (e.g., mediation, training on workplace conduct)
• Policy review and updates to reinforce expectations and prevent future incidents

Conclusion

Understanding what happens after an investigation meeting, and what happens after an investigation meeting, is critical for ensuring a fair and legally compliant outcome. The investigation process should be thorough, well-documented, and conducted without bias. By following structured steps, you can uphold workplace standards, mitigate legal risks, and foster a safe working environment for all employees.

If you need help on any of the issues in this blog, please get in touch for further assistance.