HR Advice Hub
Who Should Carry Out a Workplace Investigation?
When an issue arises at work, it is often tempting to deal with it quickly and move straight to a decision.
But where there are concerns about conduct, behaviour, or a complaint raised by an employee, it is usually important to take a step back and investigate properly first.
A workplace investigation helps an employer understand what has happened before deciding whether any further action is needed. That might relate to a disciplinary matter, a grievance, or another employee relations issue. One of the most common questions employers have at this stage is: who should actually carry out the investigation?
The answer will depend on the situation, the size of the business, and who is available. What matters most is that the person leading the investigation is able to approach it fairly, remain as impartial as possible, and gather the facts with care.
Why The Right Person Matters
The person carrying out a workplace investigation plays an important role in helping the employer understand the facts. They are not there to jump to conclusions or decide the outcome before the issues have been looked into properly.
A good investigation can help an employer decide whether:
no further action is needed
the matter can be resolved informally
there should be a formal grievance outcome
there is enough information to move to a disciplinary hearing
In many cases, an investigation will take place before an employer decides whether a disciplinary hearing is needed, or before reaching a grievance outcome.
Choosing the wrong person can make the process feel unfair from the outset, particularly if they are too closely involved or already have a strong view on what has happened.
Your Policies Should Set This Out
Employers should ideally have a disciplinary policy and grievance policy in place, and these should help set expectations around how workplace issues will be handled.
The policy does not need to name a specific individual, but it should make clear:
who may carry out a workplace investigation
who may hear any formal meeting
who may make any final decision
how the business will try to keep the process fair
This is especially helpful in small businesses, where roles can overlap more easily and there may be fewer people available. Setting this out in advance can reduce confusion and help managers respond more consistently when an issue arises.
What Does The Investigating Officer Do?
The person carrying out a workplace investigation is there to establish the facts. Their role is not to decide guilt or innocence, and it is not to assume that somebody has done something wrong before the information has been reviewed properly.
An investigator would normally:
gather relevant information
speak to the people involved
review any documents, messages or other evidence
keep a clear record of what has been found
prepare an investigation report
The purpose of the investigation is to help the employer decide what should happen next. In some cases, the matter may go no further. In others, the findings may mean there is enough information to move to a disciplinary hearing, or to help the employer reach a fair grievance outcome.
Who Is Usually The Best Person To Investigate?
In many cases, the best person to carry out a workplace investigation is someone who is not directly involved in the issue and can look at the matter objectively.
This could be:
a manager from another area of the business
a senior employee who has not been involved in the matter
another suitable person within the business
an external HR consultant or independent investigator
The key point is that the person should be able to act fairly and should not have a personal interest in the outcome.
For example, if a line manager is the subject of a grievance, they should not be the one investigating it. Equally, if someone has already made up their mind about what happened, they may not be the right person to lead the investigation.
Should HR Carry Out A Workplace Investigation?
Not necessarily. There is often some confusion around whether HR should investigate workplace issues. In many organisations, HR supports managers with the process, helps make sure the matter is handled fairly, and advises on procedure. That does not always mean HR should be the person carrying out the investigation itself.
Often, the investigator will be a manager who is not directly involved in the issue, while HR provides advice and support behind the scenes. This can help preserve the manager’s responsibility for people matters while making sure the process is handled properly.
That said, there are situations where an external HR consultant may carry out the investigation. This can be helpful where the matter is particularly sensitive, where independence is important, or where a small business does not have anyone suitable internally to handle it fairly.
So while HR can investigate in some circumstances, HR does not automatically have to be the investigator. In many cases, their role is to support the process rather than lead it.
Does The Investigator Need To Be Senior?
Not always. The investigating officer does not have to be the most senior person in the business, but they do need to have enough authority, confidence and judgement to handle the process properly.
They should be able to:
ask appropriate questions
deal with sensitive conversations professionally
review evidence carefully
maintain confidentiality as far as possible
produce a clear and balanced report
In a small business, this can be harder than it sounds. You may not have many managers to choose from, and the people available may know those involved quite well. That does not automatically mean the matter cannot be handled internally, but it does mean you need to think carefully about whether the person chosen can genuinely be fair and objective.
Should The Same Person Investigate And Hear The Disciplinary?
Where possible, no. Ideally, the person who carries out the workplace investigation should be different from the person who hears any disciplinary hearing or makes the final decision. This helps show that the process has been handled fairly and that the decision-maker has not been too closely involved in gathering the evidence.
The same principle can also apply in grievance matters. Where possible, the person investigating the concerns should not be the same person making the final grievance decision.
In larger organisations, this separation is often easier to manage. In smaller businesses, it can be more challenging. Even so, it is still worth keeping roles separate wherever you reasonably can.
If the same person has to handle more than one stage because there is nobody else available, it becomes even more important to make sure the process is handled carefully and fairly.
What Makes Someone Unsuitable To Investigate?
There are certain situations where someone is unlikely to be the right choice to carry out a workplace investigation.
For example, they may not be suitable if they:
are directly involved in the issue
are the subject of the complaint
are closely connected to one of the people involved
have already formed a strong view about what happened
do not have the confidence or capability to manage the process properly
Even where there is no deliberate bias, it is still important to think about how the situation may look from the outside. If an employee feels the investigation was not impartial, that can create further problems later on.
What If You Are A Small Business With No HR Team?
This is a common issue for small businesses. You may not have an internal HR team, and there may only be a small number of managers in the business. In those situations, employers often have to balance practicality with fairness.
Sometimes, a manager from another area of the business may be able to investigate. In other cases, it may be more sensible to bring in external support, especially where the issue is sensitive, complicated, or likely to lead to formal action.
This can be particularly helpful where:
the matter involves senior employees
there is a grievance against a manager
relationships have already broken down
there is a risk of a disciplinary hearing or dismissal
nobody internally feels truly independent
External support can bring a more neutral perspective and can help reduce the risk of mistakes in the process.
Does Every Workplace Issue Need A Formal Investigation?
Not always. Some issues can be resolved informally, and not every concern will require a full formal investigation. The right approach will depend on the seriousness of the matter and what the employer needs to establish before deciding next steps.
Where there are conflicting accounts, concerns about misconduct, or a formal grievance, an investigation is often an important part of a fair process. Rushing ahead without properly looking into the facts can increase risk and make a situation harder to manage.
Common Mistakes Employers Make
One of the most common mistakes is choosing the most convenient person rather than the most appropriate one. Another is allowing someone to investigate when they are too close to the issue.
Employers can also run into difficulty when they:
treat the investigation as a box-ticking exercise
fail to keep a clear written record
move to a formal outcome too quickly
overlook the importance of impartiality
fail to separate roles where possible
do not make clear in their policies who should investigate and who should hear the outcome
A fair investigation does not have to be overly complicated, but it does need care, consistency and good judgement.
Need HR Support?
Choosing the right person to carry out a workplace investigation matters. The best option is usually someone who is impartial, level-headed, and not directly involved in the issue. They should be able to gather the facts fairly and help the employer decide what should happen next.
It also helps to have clear policies in place from the outset, so managers understand who may investigate, who may hear formal matters, and what HR’s role is in supporting the process.
For small businesses, this is not always straightforward. So if you need a policy, support with reviewing your existing process, coaching for your managers, or practical HR advice on handling a sensitive workplace issue, BloomHR can help. Contact us for more information.