Applying policies and procedures

A guide to conducting workplace investigations

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Chapter one: Applying policies and procedures

In any organisation, handling workplace issues such as grievances, disciplinary matters, or whistleblowing concerns requires a structured, fair, and consistent approach. This is especially important at the investigation stage since this is one of the most critical and frequently scrutinised steps in any formal process.

Investigations often attract criticism from employees, especially if the process feels unclear, unfair, or prolonged. Therefore, to support employers and managers in conducting effective and fair investigations, this guide outlines key principles and practical steps employers can take to reduce risk and to maintain employee trust in the policies and procedures.

Clearly define the scope and roles

Establishing the purpose and parameters of the investigation from the outset is essential. Everyone involved must clearly understand their roles and responsibilities.

For example, if you are appointed to conduct a fact-finding investigation under a disciplinary process, it is likely that your task is to gather evidence to determine whether there is a case to answer and not to decide on culpability or to suggest sanctions.

In whistleblowing investigations, there could be multifaceted and regulatory issues. Therefore, it is essential that you are clear on which issues fall under the whistleblowing policy (with reference to the whistleblowing definition in the policy), and to ensure you understand how the findings should be reported and to whom. Protecting confidentiality and the identity of the whistleblower is also of paramount importance throughout the process.

In any investigation, a clearly defined scope reduces misunderstandings and supports a focused, objective process.

At the core of every investigation should be your organisation’s existing policies and procedures. These documents set the framework for how concerns are raised, assessed, and resolved. Consistently applying your policies and procedures helps avoids accusations of bias and supports a fair outcome for all parties.

Throughout the process, continue referring back to the policy. This ensures actions taken are justifiable, transparent, and in keeping with organisational standards.

If there is a justifiable reason to depart from the usual policies and procedures because of the circumstances, ensure that the rationale for this is clearly documented. For example, if the employee is particularly vulnerable, you may wish to extend the right to be accompanied to a meeting in the policy to a family member. Documenting these decisions provides accountability and helps explain your actions if challenged later.

Consistent application of policies and procedures builds trust and reduces the risk of allegations of bias or unfair treatment.

Even with strong internal policies and procedures, if you are dealing with a disciplinary or grievance investigation, it is important to ensure your actions are aligned to the ACAS Code of Practice on Disciplinary and Grievance Procedures. This Code, along with the accompanying guidance, outlines best practice and should be read in conjunction with any internal policies, procedures and guidance.

If your internal policies, procedures and guidance diverge from the ACAS Code, especially in areas that affect employee rights or procedural fairness, it may be appropriate to raise these discrepancies internally and to default to the Code where necessary.

It is worth noting that a failure to comply with the ACAS Code can have legal consequences, including the potential for an Employment Tribunal to increase any compensation awarded by up to 25%.

While it is preferable to complete investigations within the timeframes outlined in the relevant policy, this is not always possible. Delays can occur due to complexity of the issues, the availability of key individuals, the involvement of external experts, illness, or other unforeseen events.

One of the most common frustrations employees report is a lack of updates when investigations take longer than expected. To maintain trust and confidence, it is crucial to keep all relevant parties informed of delays, explain the reasons, and provide regular updates on progress.

Timely and transparent communication goes a long way in demonstrating respect for the process and everyone involved.

In summary

Workplace investigations can be complex and sensitive. Employers can handle investigations with integrity and professionalism by:

  • Clearly defining the scope and roles from the outset

  • Applying policies and procedures consistently and fairly

  • Aligning with the ACAS Code of Practice

  • Managing timeframes and communication effectively

Embedding these practices into your organisation’s culture helps mitigate risks and promotes trust in the internal policies, processes and procedures. In doing so, you reinforce a commitment to fairness, transparency, and continuous improvement in how workplace concerns are managed.

Chapter two: Appointing an appropriate investigator

In the next chapter, we will focus on the key considerations for appointing an appropriate investigator.

Read chapter two

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