What is a preliminary investigation?
A preliminary investigation is a process used where the employer gathers information to enable them to make a decision as to whether they can move to a formal disciplinary process, or whether a more formal investigation will be required.
The preliminary investigation process may be appropriate where an incident has occurred involving employees, you have received a formal complaint or where issues have arisen that may raise concerns about an employee’s actions or behaviours.
Read More
The preliminary investigation process involves the gathering of information from the parties associated with the issues of concern and assessing these to determine what forms of actions need to occur. This could include a decision to do a more formal investigation or to move directly to a disciplinary process.
In doing this it must be clearly explained to the parties involved what the purpose of the preliminary investigation is, and what the potential consequences might be if there are deemed to be sufficient grounds to support the concerns.
The employees must also be advised of their right to seek support and representation.
Get in Touch.
Call now for an obligation free conversation to discuss your needs.
Frequently Asked Questions.
Can I move directly to a disciplinary process without doing a Preliminary investigation?
While it might seem obvious to you that wrongdoing has occurred, there are always two sides to every story. For this reason, and in the interests of upholding the principle of ‘natural justice’, the Employment Relations Authority have warned employers to “not be too hasty in elevating matters directly to a formal disciplinary process”. To proceed directly to a formal disciplinary process, even where this only leads to the providing of a warning, may result in the employee challenging the process as being unfair.
While discipline may be the final outcome an employer needs to demonstrate that they had valid grounds to move to this step, with this being evidenced by the process used to determine whether disciplinary action was the correct action to take.
It is therefore prudent to gather all relevant information through a preliminary investigation process to enable you to have confidence in the decisions you will then make about the next steps to take.
Do I need to do a formal investigation following a Preliminary Investigation?
There are definitely times when a more formal investigation will be required following a Preliminary Investigation, including:
- where the matters surrounding the issues are complex
- where there will be several witnesses who will need to be interviewed
- where a likely outcome of the process may result in the immediate termination of employment
- when the Preliminary Investigation has not uncovered enough information to enable you to determine whether a Disciplinary Process is required or not
However, where the preliminary investigation evidence is clear, or where the employee has now admitted to the wrongdoing, it is more likely that you will be able to move directly to a disciplinary process.
Having completed your preliminary investigation, if you are uncertain as to what your next steps should be, this may be the right time to seek professional advice if you have not done so already.
Can I run this preliminary investigation myself?
Unlike a formal investigation which requires the investigator to have a higher level of skill and experience, and a higher degree of independence from the parties, the preliminary investigation process can be run in-house, as long as the assigned person is aware of the processes requirements to be followed.
The general process framework includes:
- the in-house investigator should be independent of the issues
- all information gathered should be in written form
- information should be provided to the employees before seeking their response
- employees are entitled to have support or representation present when being interviewed
In doing this it must be clearly explained to the parties involved what the purpose of the preliminary investigation is, and what the potential consequences might be if there are deemed to be sufficient grounds to support the concerns.
As part of the support we provide to our clients, we can guide the employer through the process of conducting the preliminary investigation and then assisting them in determining if there are grounds to alleviate to matter to a formal disciplinary process, or whether further investigation will be required.
In circumstances where the employer may be too close to the parties themselves or be concerned that they may not be appropriately skilled to run this process, we can facilitate the process on your behalf.
If you have any questions with respect to these issues, or need assistance in undertaking a preliminary investigation, please feel free to contact us directly.