Bullying & Harassment - Conducting an Investigation
(updated July 2015)
Once an Employer becomes aware of a problem with an Employee or receives a complaint from another employee or client, the situation needs to be investigated before any action is taken. It is essential that employers have all the facts and that they fully understand exactly what went on, while complying with the principals of fairness and natural justice, before deciding on any action.
Both or one party may be suspended with pay, pending the outcome of any investigation.
In the first instance, an investigator(s) should meet with the complainant in order to understand further the complaint and put the alleged perpetrator’s responses to the complaint.
Next, the alleged perpetrator may be interviewed by the investigator(s) to explore their responses to the complaint. All parties required to attend investigation meetings are entitled to be accompanied by a representative.
An investigator should begin by making sure that he/she is operating without bias against one or more people involved in the alleged incident(s). While basic fact finding might seem obvious enough to do, it is important to know what to ask and how to get the information required.
When an employee or client brings an allegation of improper conduct to a managers attention that manager should:
Investigation Methods
Having decided to conduct an investigation certain guidelines should be followed to ensure the investigation is accurate, and carried out in a timely, impartial and objective manner. The investigation should be conducted thoroughly, objectively, with sensitivity, utmost confidentiality, and with due respect for the rights of both the complainant and the alleged perpetrator(s).
It should be carried out by a designated member of management (Health & Safety / Equality Officer) or an agreed third party if necessary. Following these guidelines will help get the information required and determine the outcome of the investigation:
Outcome
Should the investigator(s) decide that the complaint is well founded then the appropriate action may be taken, including formal disciplinary action, or as set out in the Organisation’s Disciplinary Procedure, or other appropriate intervention deemed necessary to prevent a recurrence of the behaviour.
Training
It is considered important that all personnel involved in the operation of these procedures will have received the appropriate training in order to operate them effectively.
Once an Employer becomes aware of a problem with an Employee or receives a complaint from another employee or client, the situation needs to be investigated before any action is taken. It is essential that employers have all the facts and that they fully understand exactly what went on, while complying with the principals of fairness and natural justice, before deciding on any action.
Both or one party may be suspended with pay, pending the outcome of any investigation.
In the first instance, an investigator(s) should meet with the complainant in order to understand further the complaint and put the alleged perpetrator’s responses to the complaint.
Next, the alleged perpetrator may be interviewed by the investigator(s) to explore their responses to the complaint. All parties required to attend investigation meetings are entitled to be accompanied by a representative.
An investigator should begin by making sure that he/she is operating without bias against one or more people involved in the alleged incident(s). While basic fact finding might seem obvious enough to do, it is important to know what to ask and how to get the information required.
When an employee or client brings an allegation of improper conduct to a managers attention that manager should:
- Thank them (It is important to encourage people to speak up and to be open about these matters).
- Ask them, in private, to describe exactly what has happened.
- Ask them to give a written statement,.
- Assure them that the complaint will be treated with seriousness and confidentiality.
Investigation Methods
Having decided to conduct an investigation certain guidelines should be followed to ensure the investigation is accurate, and carried out in a timely, impartial and objective manner. The investigation should be conducted thoroughly, objectively, with sensitivity, utmost confidentiality, and with due respect for the rights of both the complainant and the alleged perpetrator(s).
It should be carried out by a designated member of management (Health & Safety / Equality Officer) or an agreed third party if necessary. Following these guidelines will help get the information required and determine the outcome of the investigation:
- Set out the terms of reference in writing with the parties involved to the investigation in advance.
- Every effort should be made to carry out a complete investigation within an agreed time frame.
- Meet with the complainant and alleged perpetrator separately. Both may be accompanied by a work colleague or employee / trade union representative if so required.
- Ask for specifics. Get Details. Do not assume anything.
- Get names of witnesses and interview them.
- Ask open ended questions and do not ask witnesses to confirm or deny any of your conclusions.
- Conduct the interviews in private and keep all information confidential.
- Maintain objectivity at all times.
- Take good notes for documentation purposes.
- Review all files and documents.
- Visit the location where the alleged incident(s) occurred if necessary.
- The complainant and the alleged perpetrator(s) should be informed in writing of the findings of the investigation.
- Both parties should be given the opportunity to comment and appeal on the findings before any action is decided upon by management.
Outcome
Should the investigator(s) decide that the complaint is well founded then the appropriate action may be taken, including formal disciplinary action, or as set out in the Organisation’s Disciplinary Procedure, or other appropriate intervention deemed necessary to prevent a recurrence of the behaviour.
Training
It is considered important that all personnel involved in the operation of these procedures will have received the appropriate training in order to operate them effectively.
