HR Investigation Process FAQs

An HR investigation is a formal process an employer follows to gather facts about a workplace concern, such as a complaint, misconduct allegation, or grievance.

The purpose of an investigation is to establish what happened, assess the evidence, and determine whether further action (such as disciplinary proceedings) is needed.

An investigation should be carried out fairly, objectively, and in line with organisational policy and employment law.

Someone may be under investigation at work because a concern has been raised about their conduct, performance, or behaviour. This could involve allegations of misconduct, bullying or harassment, breaches of policy, dishonesty, or complaints from colleagues or customers.

An investigation does not imply guilt; it is a process to establish the facts and determine whether further action is needed.

Yes, workplace investigations are serious because they help the employer understand what has happened and decide whether further action (such as a disciplinary process) is required.

In most cases, HR does have to investigate a complaint, especially if it involves allegations of misconduct, bullying, harassment, discrimination, or breaches of policy.

Employers have a legal duty to handle concerns fairly and reasonably under the Employment Rights Act 1996 and the principles of the ACAS Code of Practice.

The depth of the investigation may vary depending on the seriousness of the issue, but complaints cannot be ignored or dismissed without proper consideration.

If you are the subject of an investigation, you must be given a fair opportunity to respond to any concerns, so you must be notified. This aligns with the principles of a fair process under the Employment Rights Act 1996 and the ACAS Code of Practice.

However, HR may carry out initial fact-finding without informing you, especially if they need to establish basic details before deciding whether a formal investigation is necessary.

Yes, HR investigations are intended to be confidential, meaning information is shared only with those who need it to carry out or support the process.

Confidentiality helps protect the fairness of the investigation, encourages honest participation, and reduces the risk of retaliation or disruption.

Absolute secrecy is not possible, but employers must handle information carefully and in line with data protection law and the principles of the ACAS Code of Practice.

Yes, HR can ask you not to discuss an investigation to protect the fairness and integrity of the process. This may be to prevent evidence being influenced, reduce the risk of conflict, or protect the privacy of those involved.

However, the request not to discuss an investigation must be reasonable and should not stop you from seeking support or advice, such as from a trade union representative or colleague who is allowed to accompany you under the ACAS Code of Practice.

HR investigations follow a clear sequence of steps:

1. Define the issue – HR receives a concern or allegation and confirms what needs to be investigated.
2. Plan the investigation – decide who will investigate, what evidence is needed, and who to speak to.
3. Gather evidence – interview the parties involved and any witnesses, and review relevant documents, emails, CCTV, or records.
4. Assess the findings – compare the evidence against policies and procedures to decide what is likely to have happened.
5. Report and recommend – produce an investigation report and recommend whether any further action, such as a disciplinary hearing, is required.

Throughout, the process should be impartial, documented, and follow the organisation’s policies and the ACAS Code of Practice.

In an HR investigation, the employer gathers information to understand what happened and assess the facts. This involves interviewing the people involved, speaking to witnesses, reviewing documents or other evidence, and keeping clear records.

Once the information is collected, HR evaluates the findings and decides whether further action, such as a disciplinary process, is required.

The investigation should be fair and impartial and follow company procedures in line with the Employment Rights Act 1996 and the principles set out in the ACAS Code of Practice.

During an investigation, HR ask questions to establish clear facts. Common questions include:

• What happened?
• When and where did it happen?
• Who was involved or present?
• How did the situation unfold from your perspective?
• Do you have any evidence to support what you’re saying?
• Has this happened before?
• Were any policies or procedures relevant to the situation?
• Is there anyone else we should speak to?

Questions are open, neutral, and focused on understanding events, not leading the employee toward a particular answer.

Evidence in an HR investigation can include:

• Interview statements from those involved and any witnesses.
• Documents and records, such as emails, messages, reports, or meeting notes.
• Attendance or performance records, if relevant to the case.
• CCTV footage or access logs, where available and lawful to use.
• Policies and procedures, to assess whether they were followed.
• Physical evidence, such as damaged equipment or items related to the incident.

The aim is to gather objective information that helps establish what likely happened.

HR investigates harassment by gathering detailed, evidence-based information about the allegation. This involves speaking separately to the person who reported the harassment, the alleged harasser, and any witnesses, as well as reviewing relevant documents, messages, or CCTV if available.

HR assesses the facts against the organisation’s policies and the legal definitions of harassment under the Equality Act 2010.

The process must be thorough, confidential, and impartial, with clear records kept and appropriate action taken based on the findings.

An investigation is a fact-finding process followed to establish what happened and whether there is a case to answer.

A disciplinary is the formal procedure that follows if the evidence suggests a possible breach of rules or misconduct.

In short, the investigation gathers information, while the disciplinary considers that information and decides on any outcomes or sanctions.

An HR investigation should be carried out by someone who is impartial, suitably experienced, and not involved in the matter being investigated.

The investigator should not be the person who raised the concern, the person being investigated, or the manager who will later make any disciplinary decision.

In some organisations this may be an HR professional; in others it may be a trained manager or an external investigator. The key requirement is that the investigator is neutral, understands the process, and carries out a reasonable and balanced investigation based on the evidence.

If you feel the investigator is biased or has a conflict of interest, you should raise this concern as early as possible, ideally in writing.

You can explain why you believe the investigator is not impartial, for example if they were involved in the incident, have a close working relationship with someone involved, or have previously expressed views about the matter. Employers are expected to take such concerns seriously and consider appointing a different investigator where appropriate.

Yes, you can be suspended during an investigation, but suspension should be a neutral act, not a punishment.

Suspension is normally only used where it is necessary, for example to protect the investigation, safeguard employees or customers, or prevent further issues while facts are being established. It should not be an automatic response and must be kept under regular review.

During suspension, you should normally remain on full pay, continue to receive benefits, and be told clearly that suspension does not mean any conclusions have been reached about your conduct.

If you are too unwell to attend an investigation meeting, you should inform your employer as soon as possible and provide medical evidence if requested.

Employers are expected to act reasonably and take your health into account. This may include postponing the meeting, holding it remotely, allowing written responses instead of attendance, or waiting until you are medically fit to take part. The aim is to ensure the process is fair and that you can engage properly, not to pressure you to attend while unwell.

Yes. You are entitled to submit your own evidence as part of an HR investigation.

You can provide relevant material such as screenshots, emails, messages, diary entries, documents, or names of witnesses to support your account. The investigator should consider this evidence alongside other information gathered during the investigation.

Any evidence you submit should be relevant, factual, and provided as early as possible to enable it to be properly reviewed as part of a fair and balanced investigation.

Yes, you can see witness statements made against you, but it depends on the stage of the process.

If the issue progresses to a disciplinary stage, fairness requires that you are given access to the evidence being relied on so you can understand the case against you and prepare a response. This normally includes relevant witness statements, which should be shared in advance of any disciplinary hearing.

In some cases, statements may be anonymised to protect witnesses, but they must still contain enough detail for you to respond properly and fairly.

During the investigation stage, employers do not always provide full witness statements, as the purpose is fact-finding rather than decision-making.

As an employee under investigation, your rights come from UK employment law, the ACAS Code of Practice, and your organisation’s own policies.

You have the following rights:

• The right to be informed of the allegations if a formal investigation is opened.
• The right to respond and give your account of events.
• The right to be accompanied at any formal meeting by a colleague or trade union representative, as set out in Section 10 of the Employment Relations Act 1999.
• The right to a fair and impartial process, in line with the Employment Rights Act 1996 and the ACAS Code of Practice.
• The right to confidentiality, with your information handled appropriately under the UK data protection legislation.
• The right to appeal if the investigation results in disciplinary action, in line with workplace policy and the ACAS Code of Practice.

There is no set legal timeframe, but HR investigations should be completed as promptly as reasonably possible. The length depends on the complexity of the issue, the number of people involved, and how much evidence needs to be reviewed.

The ACAS Code of Practice emphasises avoiding unnecessary delays, so employers are expected to progress the investigation efficiently while still ensuring it is thorough and fair.

An HR investigation may take a long time if the issues are complex, there are multiple witnesses to speak to, or significant evidence needs to be gathered and reviewed.

Delays can also occur if key people are unavailable, new information emerges, or the investigator needs extra time to ensure the process is fair and thorough.

The employer must balance completing the investigation promptly with meeting the standards of fairness set out in the ACAS Code of Practice.

After an HR investigation, the employer reviews the findings and decides whether further action is needed.

Possible next steps include taking no action, resolving the issue informally, providing training or support, or starting a formal disciplinary process if there is evidence of misconduct.

The outcome should be communicated in writing, and the employee involved should be informed of any right to appeal or the next steps in the procedure.

HR investigations do not automatically lead to termination. The purpose of an investigation is to gather facts to determine whether there is a case to answer.

If the evidence suggests misconduct or a breach of policy, the employer may move to a disciplinary process, where a separate decision is made about any sanctions. Termination is only one possible outcome and can only occur if the disciplinary process finds serious misconduct and follows a fair procedure in line with employment law and the ACAS Code of Practice.

An investigation record should not remain on your permanent personnel file if no disciplinary action is taken. In those cases, records are usually kept separately for a limited period to show the matter was handled properly, then deleted or archived in line with the organisation’s data retention policy.

If disciplinary action is taken, records related to that action may be placed on your personnel file, but only where relevant and only for a defined period. Employers must be clear about what is kept, why it is kept, and how long it will be retained, in line with data protection law.

You can ask your employer what records are being kept, where they are stored, and when they will be removed.

Yes, you can resign while being investigated, as there is no legal requirement to stay.

However, the employer may still choose to continue or conclude the investigation after you leave, especially if the allegations are serious or they need to make findings for record-keeping or safeguarding purposes.

In some situations, resigning during an investigation could affect references or future employment, so it’s important to understand the implications before deciding.

Yes, you can get a new job while under investigation, as there is no legal restriction preventing you from applying for or accepting another role. However, the impact will depend on the type of job and what a prospective employer asks in references.

Many employers only provide basic references (dates and job title), but if the role is regulated or safety-critical, the organisation may need to disclose that you left during an investigation.

It is sensible to check your current employer’s reference policy so you understand how it might affect your job search.