Investigation templates toolkit

The purpose of an investigation is to collect all the relevant information and evidence relating to an alleged misconduct.

Making decisions on a workplace disciplinary or grievance without reasonably completing a fact-finding exercise may render any subsequent decisions or actions taken unfair or unlawful, which can expose the organisation to the risk of legal action.

Undertaking an investigation will often be required as part of a disciplinary or grievance process. In order to ensure that the investigation was fair and appropriate it is good practice to plan, record and invite correctly.

• Workplace investigations are a means of gathering information and evidence in response to a complaint, allegation or concern regarding an employee's conduct, behaviour, or performance.

• Employers have a legal obligation to investigate any complaints or concerns that are brought to their attention, particularly in relation to allegations of discrimination, harassment, bullying or other forms of misconduct.

• Workplace investigations should be carried out in a fair, objective, and impartial manner. Employers should ensure that investigators are appropriately trained and have no conflicts of interest that could affect their ability to conduct the investigation.

• Employees who are the subject of an investigation should be informed of the nature of the allegations against them and given an opportunity to respond. This includes the right to be accompanied by a colleague or trade union representative during any meetings or interviews.

• Employers should ensure that the investigation is conducted confidentially, and that information is only shared with those who need to know in order to carry out the investigation.

• Employers must comply with relevant data protection legislation when conducting workplace investigations, including ensuring that personal data is processed lawfully, fairly, and transparently.

• Following the investigation, employers should make a decision based on the evidence gathered and take appropriate action, which may include disciplinary action, performance management, or other measures to address the issues identified.

• Employers should keep accurate and detailed records of the investigation, including any evidence gathered, decisions made, and actions taken.

• Failure to conduct a workplace investigation properly can lead to legal claims from employees, including claims for unfair dismissal, discrimination or breach of contract.

Here are some conplex but common Investigation-related workplace scenarios that need careful planning and execution to resolve.

We show you the steps to take to manage the specific case, along with what you should consider doing to minimise and mitigate any repeat.

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