Workplace investigations are a vital part of managing employee issues effectively and lawfully. Whether it’s a complaint of misconduct, allegations of discrimination, or a grievance raised by an employee, how you handle the process can have a significant impact — legally, financially, and culturally.
A poorly managed investigation can lead to tribunal claims, reputational damage, and lost trust within your team. On the other hand, a fair, thorough and legally sound investigation demonstrates that your organisation takes concerns seriously and complies with its legal duties.
This is why many employers choose to work with the best employment law solicitors chester during the process — to ensure every step is carried out correctly and in line with current UK employment law.
Here’s how to conduct a lawful workplace investigation, and why involving professional solicitors can make all the difference.
1. Understand When an Investigation Is Required
Workplace investigations are not always optional. Employers have a legal duty to address issues such as harassment, discrimination, or health and safety complaints, and to follow a fair process before taking any disciplinary action.
Common situations requiring an investigation include:
- Allegations of misconduct or gross misconduct
- Formal grievances from staff
- Bullying or harassment complaints
- Whistleblowing disclosures
- Breaches of company policy
Even if the outcome seems obvious, an investigation must be carried out fairly, and without prejudging the issue.
2. Appoint a Suitable Investigator
The person leading the investigation should be:
- Impartial and unbiased
- Senior enough to conduct interviews and make recommendations
- Not directly involved in the events or allegations
- Trained in handling sensitive HR matters
In more complex or high-risk cases, appointing an external solicitor or investigator can help ensure objectivity and legal compliance — especially where internal relationships may make neutrality difficult.
3. Follow a Clear Investigation Process
The ACAS Code of Practice sets out key steps for disciplinary and grievance procedures. While it is not legally binding, it is heavily relied upon by employment tribunals when determining whether a process was fair.
The general process includes:
- Defining the scope of the investigation
- Gathering and reviewing relevant documents
- Interviewing witnesses and the parties involved
- Keeping detailed written records of findings
- Preparing an investigation report with conclusions
Solicitors can assist in designing or reviewing your investigation process to ensure it is procedurally fair and protects your organisation against future claims.
4. Preserve Confidentiality and Fairness
Confidentiality is essential to protect the integrity of the investigation and to safeguard all parties involved. However, confidentiality must not override the right of the accused to know the case against them.
Employers should:
- Keep findings private and secure
- Avoid discussing the case informally with others
- Ensure witnesses are not influenced or intimidated
A solicitor can help ensure you strike the right balance between transparency, data protection, and fairness.
-
Be Aware of Legal Risks
A mishandled investigation could expose your business to legal risks, including:
- Unfair dismissal claims, if you act without evidence or a fair process
- Discrimination or victimisation claims, if the investigation is biased or retaliatory
- Breach of contract, if your disciplinary policy isn’t followed
- Data protection breaches, if sensitive information is mishandled
Solicitors can identify these risks early and guide you through the legal implications of your decisions at every stage.
6. Document Everything
Accurate records are crucial. Make sure all interviews are documented, evidence is logged, and the final report is clear and balanced. If the matter ends up in an employment tribunal, these documents will form the backbone of your defence.
A solicitor can help draft or review your investigation report to ensure it is objective, fact-based, and defensible.
7. Know When to Involve Legal Advice
You should consider involving employment solicitors when:
- The allegation is serious or high-risk (e.g. gross misconduct, discrimination)
- The accused employee is senior or legally knowledgeable
- The internal investigator may be biased or inexperienced
- There is a risk of reputational or legal damage
- You are unsure how to handle the findings
Legal advice at an early stage can help prevent costly mistakes later on — and demonstrate that your organisation took reasonable steps throughout.
Conclusion: A Fair Process is a Legal Necessity
Workplace investigations are not just an HR process — they are a legal obligation in many cases. A fair, transparent, and lawful investigation protects your employees, your organisation, and your reputation.
