Workplace investigations outcomes – misconduct: From no case to answer to disciplinary hearing.

Workplace Investigations outcomes range from no case to answer, informal management action, to a disciplinary hearing that can lead to warnings or dismissal for gross misconduct. The legal test is reasonableness. Decide on the balance of probabilities, disclose relied upon material, give reasons in writing and offer an appeal.

Introduction

Outcomes are where fairness is tested. A sound investigation means little if the decision is rushed or poorly recorded. Employment tribunals look at whether the outcome flows from reasonable enquiries, whether the employee saw the relied upon material, and whether reasons and appeal rights were given. This guide explains each outcome stage for employers.

Key takeaways

·        There is no fixed script. The right outcome depends on evidence strength, seriousness, mitigation and consistency with similar cases.

·        Keep roles separate. Investigators find facts, decision makers decide outcomes, appeal managers review.

·        Always disclose relied upon material in good time and give the employee a chance to respond before a disciplinary hearing.

·        Give a reasoned outcome letter that sets findings, actions, timescales and appeal rights.

·        Document why dismissal or a sanction is given so you can show how it sits within the range of reasonable responses for your organisation.

What outcomes are possible in a Workplace Investigation

·        No case to answer, for example allegations not made out or evidence insufficient. Close the case and consider learning points.

·        Informal action, for example management discussion, coaching, mediation or training, used where issues do not warrant formal sanction.

·        Policy or process actions, for example control fixes or culture interventions where systemic issues are found.

·        Performance or capability route, where concerns are about skill or health rather than misconduct. Use the correct policy.

·        Disciplinary hearing, used where there is a case to answer on misconduct, which can result in no action, first warning, a final written warning or dismissal (including for gross misconduct).

Rights and obligations at the outcome stage

·        Acas Code of Practice, act promptly and fairly, share relied upon material and allow reasonable time to prepare and respond.

·        Employment Rights Act 1996, which requires overall fairness of dismissals including  whether you acted reasonably in all the circumstances.

·        You need a reasonable belief based on a reasonable investigation to justify dismissal.

·        The scope and depth of investigation is judged by the band of reasonable responses that a reasonable employer might adopt.

·        Employment Relations Act 1999  gives employees the right to be accompanied at disciplinary (and grievance) hearings.

·        Equality Act 2010, consider reasonable adjustments and avoid discrimination or victimisation.

How to decide an outcome fairly, process and tests

·        Separate roles, investigator drafts a neutral report following a thorough investigation, the hearing chair tests the evidence and decides outcome at a formal disciaplinry hearing, the appeal manager reviews later.

·        Standard of proof, balance of probabilities. Set out what you find proved and what you do not.

·        Assess seriousness, intent, impact and risk, then consider mitigation, length of service and live warnings.

·        Check consistency, compare with similar cases. Consider explaining any differences to avoid unfairness.

·        Choose proportionate action, for example no action, informal steps, first written warning, final written warning, dismissal with notice, summary dismissal for gross misconduct.

·        Explain reasons, reference the key evidence in your letter and your policy. Set review periods and any actions.

Outcome letters, what to include

·        Allegations considered and findings on each on the balance of probabilities.

·        Key evidence relied upon with references to exhibits, plus any significant points raised by the employee.

·        Policy rules engaged and why the sanction is proportionate within the range of reasonable responses.

·        Actions and timescales, for example training, mediation or supervision.

·        Right of appeal, to whom, how, and the deadline, usually 5 to 10 working days.

From investigation to disciplinary hearing, the handover

·        Disclose the investigation report and relied upon material in good time so the employee can prepare.

·        Invite to a hearing with date, time, location, chair, companion rights and the issues to be decided.

·        Provide reasonable adjustments as needed if the employee is disabled, for example, extra time, accessible formats or a remote option.

·        Keep minutes at the hearing and share the outcome letter promptly.

Sanction range, consistency and dismissal

·        No action where there is insufficient evidence of wrongdoing.

·        Warnings, first or final, include duration and what improvement is required.

·        Dismissal with notice, for serious but not gross misconduct, respect contractual or statutory notice and consider payment in lieu if allowed by the contract of employment.

·        Summary dismissal, for gross misconduct where trust and confidence is destroyed. Only where fair process and evidence justify it.

Common pitfalls to avoid

·        Predetermination, using outcome language in the investigation report or invites.

·        Late disclosure, giving relied upon material at the last minute.

·        Ignoring mitigation and consistency, which can render the sanction unreasonable.

·        Inadequate letters, outcomes without reasons or missing appeal rights.

·        Mixing processes, using disciplinary process for issues of poor performance.

Examples, anonymised

Example 1, No case to answer. Two witnesses contradict each other and system logs do not corroborate the allegation. The manager issues a short letter confirming no case to answer, thanks the employee for cooperation and notes a small process fix to remove future ambiguity .

Example 2, Disciplinary hearing with final written warning. Swearing at a customer is admitted. Mitigation includes provocation and long service with a clean record. Rather than dismiss, the chair issues a final written warning for 12 months with training and supervision, explains reasons and sets a review date.

FAQs

What does balance of probabilities mean? 

It means the decision maker must be satisfied it is more likely than not that an allegation happened. This is not the criminal standard. Set out what you find proved and why.

Do we have to wait for the police before deciding an outcome? 

Usually not. You can run a fair internal process on the civil standard while cooperating with the police. Take care not to prejudice criminal enquiries.

How much notice should we give before a disciplinary hearing? 

Give enough time for the employee and any companion to prepare. Many employers allow at least 3 to 5 working days and more for complex cases.

Can we skip straight to dismissal for gross misconduct? 

Only where the facts and your policy justify it and a fair process has been followed. Consider mitigation and consistency. Explain reasons in writing.

What if new issues emerge at the hearing? 

Pause, consider whether they are within scope and whether further investigation is needed. If scope expands, consider postponing to allow further investigation .

When to get advice and next steps

High risk or senior cases, or those involving discrimination, whistleblowing or safeguarding, benefit from specialist input. We can scope, run or review investigations, chair hearings and draft outcome letters that are clear and defensible. 

This page provides general information only, based on UK employment law as at the date of publication. It is not legal advice and must not be relied on as such. Outcomes depend on your circumstances. Reading this page or contacting us does not create a solicitor client relationship. Please do not include confidential information in your first message.

Our expert employment law solicitors all have many years’ experience advising individuals who are in your position. We will be able to guide you through the process and to help you secure the best possible outcome.

We offer a range of services, so please contact our friendly customer services team to discuss further via dh@kilgannonlaw.co.uk or 07969921491

This article is for information purposes only and is correct at the time of publication. It does not constitute legal advice 13.12.25