Watt About Workplace Investigations - Guide to Conducting Workplace Investigations

Workplace investigations are a critical part of handling Employee Relations (ER) matters, such as disciplinary and grievance fairly and legally compliantly. A well-conducted investigation ensures that decisions are based on facts, helps protect your organisation from legal risk, and maintains trust and transparency with employees.

At Ditton HR we have a team of specialist ER Consultants who are on hand to advise, guide and support employers through every stage of the investigation process—whether taking on the role of impartial investigator, advising the investigating manager or providing the all-important admin support to ensure accurate records of investigation meetings are captured. Whatever the level of support, we will strive to ensure compliance and fairness as well as consider commercial priorities. In this guide, we take you through all the essentials to help you plan and carry out a thorough and efficient investigation, together with some tips on best practises.

When might an investigation need to take place?

There are several workplace scenarios that may require an investigation, including:

Workplace Misconduct

Misconduct can range from minor issues, such as lateness or refusal to follow instructions, to serious or “gross” misconduct, such as theft, fraud, or violence. Investigations help determine whether an employee is guilty of misconduct. If evidence is found, the matter is usually addressed through a disciplinary hearing. Dismissing an employee with over two years’ service without first conducting an investigation will almost always be considered unfair.

Workplace Grievances

Grievances are complaints raised by employees, often concerning pay, benefits, promotion decisions, or the behaviour of colleagues. A grievance investigation typically involves reviewing the complaint, gathering witness statements, and assessing whether the grievance should be upheld, along with any recommended next steps.

Bullying, Harassment, and Discrimination

These sensitive issues require thorough and timely investigations due to their impact on individuals and the risk of costly legal claims or reputational harm. Often raised through a grievance process, such allegations may also surface indirectly (e.g., in exit interviews). Investigations establish whether the claims are substantiated and what actions are necessary, such as disciplinary measures or cultural and policy changes. Allegations of sexual harassment in particular demand close scrutiny, especially with the introduction of a new mandatory duty on employers to prevent sexual harassment in 2024.

Whistleblowing

Whistleblowing occurs when an employee makes a protected disclosure about workplace wrongdoing, such as criminal activity or health and safety risks. These disclosures must be taken seriously and investigated thoroughly, both to identify potential business risks and to meet legal obligations. Employees are legally protected  from dismissal or retaliation for whistleblowing, and mishandling such cases can be costly. A well-run investigation demonstrates that disclosures were addressed properly, helps prevent external reporting (to regulators or the media), and minimises regulatory and reputational risks.

Who should carry out the investigation?

First, review your internal policies to see if they specify who should lead an investigation. If no guidance is provided, it’s best to appoint someone within the business who is independent from the issues being investigated and who has the right experience and training in handling investigations.

Typically, investigators are often the immediate line manager. Although sometimes it is more appropriate to appoint a manager from another department if the matter relates to a specific function (for example, finance). While you should select someone sufficiently senior to ensure credibility, it’s wise not to choose the most senior person in the business at this stage. You may need other senior staff later to chair formal hearings and appeals.

It’s also worth considering the investigator’s characteristics. For instance, in sexual harassment cases, a complainant may feel more comfortable with an investigator of the same gender. In discrimination complaints, an investigator with training and experience in diversity, equity, and inclusion would be particularly valuable.

In some circumstances, appointing an external investigator may be more appropriate both from a commercial and legal compliance perspective. This might be necessary if the organisation lacks staff with the required HR or investigation expertise, or if the matter is particularly serious or sensitive. It also may be the desired option from a time management perspective. In such cases, engaging an independent external investigator can provide impartiality and expertise. At Ditton HR, our ER Consultants are frequently appointed in this role and bring extensive experience in conducting investigations.

How do you carry out an investigation?

How you carry out an investigation will depend on the type of issue (for example, disciplinary, grievance, or whistleblowing) and the requirements set out in your Organisation’s policies and procedures. The guidance below provides a general framework, but don’t worry, one of our ER specialist can support you through the process.

Plan your investigation

Decide what type of investigation is required (e.g. grievance, misconduct, whistleblowing) and identify the key witnesses you will need to interview. Consider the evidence you should gather, such as emails, instant messages, documents, or meeting notes, and who in your organisation can help you access it. Also plan the practical arrangements: whether meetings will be in person or remote, the availability of witnesses, and any sensitive considerations (for instance, the gender of the investigator in a sexual harassment case).

Define the scope

Set clear boundaries at the outset to keep the investigation focused and manageable. Drafting formal terms of reference can help the investigator understand exactly what needs to be reviewed and prevent the process from becoming unreasonably broad. It is common for investigations to uncover new issues, but having a clear scope will help you stay in control.

Assess the need for immediate action

Some situations may require urgent steps before the investigation begins. For example, if an employee is accused of harassment, you may need to consider temporary reassignment or suspension to protect others. In grievance cases, an employee may be off sick and require HR support during the process.

Review policies and guidance

Check your internal policies relevant to the investigation type (grievance, disciplinary, whistleblowing). Confirm who should lead the process, what deadlines apply, and whether external codes or guidance (such as the ACAS Code) should be followed. If the matter is complex, legal advice may be necessary.

Conduct a reasonable investigation

Meet with all key parties: the complainant, the accused, and relevant witnesses. Gather and review evidence in line with the defined scope, but remain flexible if significant new information arises. Keep those involved updated on progress and timelines. Above all, ensure the investigation is fair, impartial, and thorough, focusing only on relevant facts.

Safeguard confidentiality

Protect the privacy of everyone involved—the complainant, the accused, and witnesses. As the ACAS guidance notes, confidentiality helps maintain trust, staff morale, and prevents collusion. Where possible, avoid sharing names unnecessarily. If disclosure is unavoidable, remind participants of their duty to keep investigation details confidential and not to discuss them with others.

Who needs to be interviewed as part of an investigation?

You should schedule investigation meetings with all key employees who are relevant to the matter under review. In cases involving grievances or whistleblowing disclosures, this means meeting the employee who made the complaint or disclosure, as well as any employees against whom allegations have been made. In disciplinary matters, this involves meeting the employee accused of misconduct and any witnesses to the incident. Ideally, you should begin by meeting the person who raised the complaint or disclosure to document their account of events, followed by any relevant witnesses.

When determining who to interview, it is important to balance the need to gather all relevant evidence with the need to keep the investigation focused. It is not necessary to speak with every potential witness if doing so could compromise confidentiality or unnecessarily broaden the investigation. Instead, prioritise key witnesses—if their accounts align, that may be sufficient. However, if new information emerges during the investigation, you should interview any additional individuals who could provide valuable insight. The key is to ensure that all obvious witnesses are interviewed and no one who could significantly contribute to the investigation is overlooked.

How do you conduct an investigation meeting?

Investigation meetings provide an employee with an opportunity to share their version of events, while allowing the investigator to gather and establish the facts. These meetings should remain neutral and focused solely on understanding what happened. It is important to note that, in the context of disciplinary matters, investigation meetings are not the same as disciplinary hearings. Investigators must avoid making accusations or giving the impression that a particular outcome is predetermined. The following outlines a recommended approach for conducting investigation meetings:

Arrange the Meeting

Schedule the investigation meeting as soon as reasonably possible, in line with any relevant timeframes in Organisation policies. Inform the employee of the date, time, and location, and clarify whether they are entitled to be accompanied under relevant policies. There is no legal requirement to allow a companion at an investigation stage, but it is often good practise to do so, particularly if the investigation is about alleged bullying or harassment. If the meeting is held in person, select a discreet location. In disciplinary investigations, it can sometimes be useful not to disclose the full purpose of the meeting in advance, so the employee’s immediate response to the allegations can be observed. For guidance on this approach and other strategies, our ER Consultants can support you.

Conduct the Meeting

At the start of the meeting, the investigator should:

·       Introduce themselves and explain their role.

·       Clearly state the purpose of the meeting.

·       Set expectations regarding confidentiality.

·       Emphasize that the meeting is fact-finding only.

·       Explain that the employee’s statements may be included in an investigation report and who will have access to it.

Investigation meetings can be unsettling, particularly for employees who have not attended one before. The investigator should reassure the employee that this meeting is not a disciplinary hearing or any other HR process and allow them to ask questions throughout.

Establish the Facts

The investigator should ask all relevant questions to gather the facts, using probing questions without appearing hostile or adversarial. It is always advisable to have a pre prepared script and list of questions prior to the meeting, which our ER Consultant can assist you to draft. If the employee references supporting evidence (e.g., emails, files, CCTV, or physical documents), the investigator should seek to obtain copies. If specific colleagues are mentioned, the investigator should consider whether to speak with them as part of the investigation.

Take Notes

The investigator should document the employee’s responses, including any questions they decline to answer. These notes can later be used to produce a formal witness statement or meeting record. While witness statements do not need to be verbatim, they should accurately reflect the discussion. Once drafted, the statement should be shared with the employee, who should confirm its accuracy and, if appropriate, sign it. A process should be in place to handle any edits requested by the employee regarding their witness statement.

It is always advisable to have a note taker at the meeting, as it can be very difficult to lead the investigation and take notes accurately. Ditton HR can provide experienced note takers to support any investigation.

How do you decide on the outcome of an investigation?

As stated earlier in this guide, the primary purpose of an investigation is to establish the facts. In an HR context, an investigator may make findings of fact based on the balance of probabilities—that is, whether it is more likely than not that a particular event occurred. For instance, if an employee alleges that a colleague made inappropriate comments during a team meeting and at least one witness corroborates this, the investigator may conclude that the incident likely took place. On the other hand, if there is insufficient evidence to support the claim—such as when it is simply one person’s word against another’s—the investigator should state in the report that there is not enough evidence to reach a factual conclusion. Making findings of fact often requires careful thought, judgment and consideration. Our ER Consultants will be on hand as a sounding board and subject matter expert to guide your thinking.

How do you present the findings of an investigation?

Once the investigation is complete, the investigator should compile their findings into a clear and well-organised report. Don’t worry, Ditton HR can provide you with a fit for purpose template to capture your findings and also support with pulling together all the relevant information to include. This report should begin with an introduction outlining the background of the investigation, followed by a summary of the investigation process, including details of any witnesses. It should clearly indicate which facts were established, which were not, and conclude with any recommendations for further action. Typically, witness statements and supporting evidence collected during the investigation are appended to the report.

Clients often ask how detailed an investigation report needs to be. In general, the level of detail should correspond to the complexity of the matter. For example, an investigation into serious financial misconduct would likely require a comprehensive and technical report, whereas a simple grievance regarding an employee’s working hours may warrant a shorter, more straightforward report. The key objective is to ensure the report accurately presents all relevant facts and provides an impartial reflection of the investigator’s independent conclusions.

What happens after the investigation?

After completing the investigation and preparing the investigation report, several important steps remain before the investigation can be fully closed:

Making recommendations.

The investigator may include recommendations in the investigation report. These often suggest potential actions—either formal or informal—or propose changes to policies and procedures. For example, in disciplinary investigations, the investigator might recommend that the employer pursue formal action through a disciplinary hearing. It is essential that recommendations are not presented as sanctions or predetermined outcomes. They should serve as guidance to the employer on possible next steps. If recommendations are included, appropriate action should be taken to implement them.

Sharing the investigation report.

Investigation reports may need to be shared with key decision-makers within the organisation to support their decisions on further action. However, reports should not be shared more widely. Employees may request access to the investigation report or witness statements. Under data protection regulations, employees are entitled to see sections containing their personal data, including their name and relevant context. Any information relating to other individuals must be redacted unless consent is given by the third party. In practice, this means carefully removing third-party personal data before sharing the report with a requesting employee.

Supporting the decision-maker.

If the investigation leads to further action, such as a disciplinary hearing, the investigator may need to remain available to provide additional context and information to the decision-maker to assist them in reaching a fair and informed decision.

Keeping adequate records.

Maintaining thorough records of the investigation is crucial. Proper documentation demonstrates the steps taken during the investigation and can provide evidence if required in employment tribunals—for example, to justify the fairness of a subsequent employee dismissal. Records should include meeting minutes, witness statements, the investigation report, emails with witnesses, and other collected evidence. To ensure confidentiality, documents should be securely stored using password protection and encryption. Document retention and storage must also comply with data protection laws, meaning records should only be kept as long as necessary and in accordance with your organisation’s retention policies.

Our ER Consultants are available to support you with any aspect of workplace investigations, ensuring they are handled professionally, fairly, and in line with best practices. We can also provide expert advice and guidance on implementing any recommendations that come out of an investigation, such as a formal hearing, policy update or learning and development interventions, to name but a few.

Please don’t hesitate to reach out to discuss how we can assist you.

Get in touch for a no-obligation chat about your specific needs.

www.dittonhr.co.uk 0208 398 6599 info@dittonhr.co.uk 

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Guide to Conducting Workplace Investigations .pdf

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