Misconduct: Investigation and Early Steps
These templates are designed to help employers investigate suspected misconduct and deal with less serious conduct issues through a fair, consistent, and well-documented process.
Proper disciplinary procedures and clear written records can be important in reducing the risk of allegations that an employee has been treated inconsistently, discriminatorily, or unfairly. They can also help employers manage conduct issues before they escalate into more serious disciplinary matters.
This collection focuses on the early stages of misconduct handling, including investigation, informal discussions, and related follow-up. It is intended for use where concerns need to be looked into properly, but where the outcome may range from no further action to informal guidance or, where appropriate, formal action.
When to Use These Misconduct Investigation Templates
These documents are useful where an employer needs to investigate concerns about an employee’s conduct and respond in a structured way.
They are particularly relevant where the issue may be capable of informal resolution, where facts still need to be established before deciding next steps, or where an initial investigation may lead to a warning or other formal outcome.
Managing Misconduct Fairly and Consistently
The templates in this collection help employers communicate clearly with employees during the investigation stage, record discussions, and confirm outcomes. They support a more consistent approach to misconduct issues and can help reduce the scope for disputes about how concerns were handled.
The collection also reflects the practical reality that not every misconduct issue leads to formal disciplinary action. In some cases, informal management action or no further action may be the appropriate outcome once the facts have been reviewed.
Practical Support for Early Disciplinary Action
Alongside letters and outcome documents, this collection includes supporting guidance on investigating suspected misconduct. Taken together, these materials provide employers and HR teams with a practical framework for handling misconduct issues at an early stage while keeping the process organised and procedurally sound.
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Frequently Asked Questions
An employee's conduct has raised concerns. Do I need to investigate before taking any disciplinary action? +
Usually, yes. Where you are contemplating formal disciplinary action, the Acas Code of Practice on Disciplinary and Grievance Procedures says employers should carry out any necessary investigations to establish the facts before any disciplinary action is taken. The depth of investigation depends on the circumstances and on the employer's size and resources, and many conduct concerns can be resolved informally with a quiet word without a formal investigation. Skipping a necessary investigation risks making any later dismissal or disciplinary outcome unfair, and a tribunal can increase compensation by up to 25 per cent where an employer unreasonably ignores the Code. To start in a structured, documented way, use the Guidance Notes on Investigating Suspected Misconduct and the letter advising the employee that an investigation is under way.
What is the difference between notifying an employee of a misconduct investigation and inviting them to an investigatory meeting? +
Notification tells the employee an investigation into their conduct is underway, without inviting them to a meeting; the invitation letter is a separate document requesting their attendance at a fact-finding meeting as part of that investigation. The Acas Code makes clear the investigatory meeting is purely fact-finding and must not itself result in disciplinary action. Use the Letter advising an employee of investigation into misconduct and the Invitation Letter to Misconduct Investigatory Meeting.
Does the employee have the right to bring a companion to a misconduct investigatory meeting? +
No statutory right to be accompanied exists at an investigatory meeting: the section 10 right under the Employment Relations Act 1999 applies to formal disciplinary and grievance hearings, not fact-finding investigatory meetings. However, the Acas Code notes such a right may exist under the employer's own procedure, and Acas guidance recommends allowing accompaniment where it would benefit the investigation or the employee is vulnerable. Employers should check their disciplinary policy and consider reasonable adjustments for disabled employees, who may have additional entitlements under the Equality Act 2010.
I have spoken to an employee about a minor conduct issue informally. What documents should I use to record that conversation and any agreed improvement? +
After an informal discussion about minor misconduct, you should record the conversation and confirm any agreed actions in writing. This sub-folder contains two distinct templates for that purpose: the Informal Discussion Letter, which records that the conversation took place, and the Improvement Letter Following Informal Discussion, which sets out the specific improvements expected. Using both creates a clear audit trail showing you addressed the concern before escalating to formal procedures. A written record can also be important if the behaviour continues and formal action becomes necessary later.
The investigation is complete and no disciplinary action is warranted. What do I need to send the employee? +
Where your investigation concludes that no further action is needed, you should confirm that outcome to the employee in writing. This sub-folder includes a No Further Action Letter for exactly this purpose. Providing written confirmation is important for clarity and for demonstrating a fair, consistent process. It closes the matter formally and reassures the employee that the investigation is complete, which matters both for workplace relations and for your records if the position is ever queried.
Should the same manager who investigates misconduct also chair the disciplinary hearing if formal action follows? +
No. Where practicable different people should carry out the investigation and chair the disciplinary hearing, a clear expectation in the Acas Code of Practice on Disciplinary and Grievance Procedures that protects the fairness and integrity of the process. In smaller organisations separating the roles may not always be possible, but the Acas Code still expects the employer to act as fairly as possible. The investigation and hearing documents in this sub-folder support a staged process with clear separation between the fact-finding and decision-making stages.
