Investigation or mediation? Getting the first steps right

Written by Nicola Gater | 10th November 2026

A concern comes to light. Now what?

Whether it’s a grievance, a complaint about someone’s behaviour or an incident at work, start by understanding what’s been raised. You can then decide how best to respond.

You may feel you should speak to everyone immediately, including the person the concern is about, but it’s worth thinking through the order of those conversations first, so people’s accounts of events aren’t influenced by others and relevant information is recorded.

The Acas Code of Practice  on disciplinary and grievance procedures emphasises the importance of dealing with issues promptly and fairly. Establishing the facts and giving people an opportunity to respond are central to this.

For now, focus on keeping things steady while you decide what needs to happen next. That means taking the concern seriously without assuming you already know the outcome, or that a formal investigation is the only option.

There are some practical things you can do while you arrange support, even if you haven’t yet appointed an investigator or spoken to an HR advisor.

The first steps to take while you find the right support

Every situation is different, but these steps will help you get started.

1. Ask those involved not to discuss the matter

Ask everyone involved, including the person who raised the concern, the person it relates to and anyone who may have witnessed what happened, not to discuss the details with each other or with colleagues, including in WhatsApp groups or team chats. Explain that you want everyone to be able to give their own account. Where possible, put this in writing and reassure them that it’s a normal precaution, not a sign that you’ve reached any conclusions. Make it clear that they can still seek appropriate advice and support.

2. Save anything that could be relevant

Think about what could help you understand what happened, such as emails, Teams messages, CCTV footage or documents. Some information is automatically deleted or overwritten, so save anything relevant as early as you can. Nobody should be asked to delete or ‘tidy up’ material that could be important.

3. Acknowledge a grievance

If an employee has raised a formal grievance, let them know you’ve received it and explain what happens next. You don’t need every answer yet. What matters is that they know you’re taking their concern seriously.

Not every informal concern will need a formal acknowledgement, but you should still let people know you’ve heard them and are planning appropriate next steps.

4. Make a note of what you know

Write down what was reported or what you saw, when it happened and what you’ve done so far. Stick to the facts rather than filling in gaps with assumptions. This gives you a clear record to refer back to and helps explain why you made particular decisions.

5. Keep information confidential

Keep details between the people who need to know. Remind managers not to speculate or discuss the matter with the wider team. Rumours can spread quickly and make things harder for everyone, even when a comment was well meant.

6. Avoid jumping to conclusions

Keep an open mind about what’s happened and who, if anyone, is at fault. Even an offhand comment can make someone feel you’ve already made up your mind. Keep your messages neutral until you’ve had the chance to consider the facts properly.

7. Be alert to victimisation

Anyone who raises a concern or takes part in the process should continue to be treated fairly. Make sure managers understand this and keep an eye out for changes in how people are treated after speaking up.

8. Think about when to speak to the person concerned

The person the complaint is about needs to know what’s been raised and have a fair chance to respond. You may need to save evidence or get advice before speaking to them, but don’t leave them in the dark for longer than necessary. If you’re unsure when to have that conversation, ask for advice first.

For serious allegations, you may be considering whether to suspend the person involved. If you believe there may be risk to the Company, to other people, or to the evidence, then consider what actions you can take to mitigate that risk. But suspension isn’t needed in every situation and should be a last resort. First consider other actions which could reduce the risk such as asking them to work from home, restricting access to certain systems or communication channels, or instructing them not to speak to others. Any suspension or restriction should be as short as possible so you must act quickly to conclude the investigation and subsequent processes. Recognise the potential personal impact of these actions and ensure you provide ongoing regular support and updates to the person involved throughout this time.

9. Give people a clear point of contact

Choose one person to handle updates and questions. It’s a simple way to avoid mixed messages and means everyone knows who to turn to when they’re unsure what happens next.

10. Check on people’s wellbeing

Think about whether anyone is at immediate risk or whether a temporary change to working arrangements would help. Keep any changes proportionate to the situation and review them regularly. They shouldn’t suggest that you’ve decided someone is at fault before you know the facts.

Check in with everyone involved, including the person or people the concern is about, and remind them of any support available through your Mental Health First Aiders or Employee Assistance Programme. You may also need to consider reasonable adjustments for disabled or neurodivergent employees.

If the matter involves safeguarding, a possible crime or health and safety risks, seek advice as soon as possible, because there may be external reporting requirements to consider.

11. Check your policies

Your grievance, disciplinary and other relevant policies should help you decide what to do. Check them before moving forward, especially where they include particular steps or timescales.

12. Consider who should handle the matter

Whoever leads an investigation or mediation needs to be impartial and not personally involved. That can be difficult if the concern involves a senior employee or people who work closely together. In those situations, bringing in an external specialist may be the better option.

If the concern could involve whistleblowing, get advice, as additional legal protections apply. You may also need help checking for conflicts of interest, meeting data protection requirements or deciding whether to notify your insurer.

If that feels like a lot to think about, remember you don’t have to work it all out alone. Getting advice early can help you decide what needs attention now and what should happen next.

Investigation or mediation? Choosing the right route

With those first steps in hand, you can think about the best way to deal with the concern. Sometimes a formal investigation is essential, particularly where serious allegations have been made. But it takes time and can add pressure for your team and your business. The aim is to choose the approach the situation needs, rather than automatically starting a formal process.

When is a formal investigation needed?

A formal investigation will often be necessary when there are serious allegations, such as harassment, discrimination, violence, fraud or safeguarding concerns. It may also be appropriate where there’s a significant power imbalance between the people involved.

In these situations, you need to understand what happened before deciding whether to take further action. An investigation helps you gather relevant evidence and hear from everyone involved, including the person the allegation is about.

You may welcome independent support if the matter is sensitive or involves senior colleagues. It can also take the pressure off if you don’t have the time or experience to manage an investigation in-house.

When could mediation or informal resolution help?

Not every workplace concern needs a formal process. Sometimes communication has broken down, a disagreement has rumbled on, or colleagues have different ideas about how the work should be done.

In these situations, an informal conversation or mediation may be enough to move things forward.

Take two colleagues who are struggling to work together after a series of misunderstandings. A formal grievance process might establish what happened and decide whether to uphold the complaint, but it won’t necessarily help them work well together again. A supported conversation, on the other hand, gives each person the chance to explain their concerns and agree together on how to move forward.

Before choosing an approach, make sure you understand the concern. A sensitive conversation with the person who raised it can help you find out what they’re hoping will change and whether they would feel comfortable trying an informal route.

Be clear that suggesting mediation doesn’t mean you’re brushing their concerns aside; if mediation doesn’t work then they still have the right to proceed with a grievance. Serious allegations may need a formal investigation, and an informal approach won’t be right for every situation.

How mediation and informal resolution work

Informal resolution can be as simple as sitting down with an employee and talking through what’s happened; sometimes people just need to be heard. Your HR provider can help guide that conversation or support people to agree practical changes.

A trained, neutral mediator helps people talk through their differences and reach a joint agreement. They don’t take sides, decide who’s right or tell people what the solution must be.

Where it’s the right fit, mediation can be less stressful than a formal process. It may also help you resolve things sooner, with less disruption to your people and the day-to-day running of your business. Mediation is voluntary, so nobody should feel pushed into it. A formal route should still be available if the issue isn’t resolved or the circumstances need further investigation.

It can help after any formal processes too. Reaching a formal outcome doesn’t always repair a working relationship, and people may need support to work together again.

Find out more about how workplace mediation works and how we can support your team.

Getting the decision right from the start

We recommend saving relevant evidence, helping people understand what happens next and consider what you need to find out. Then think about what a fair, workable outcome could look like for everyone involved.

That may mean a formal investigation, an informal conversation or mediation. Sometimes it means an investigation first, followed by mediation to help rebuild working relationships.

There’s no single approach that suits every concern. Taking advice early gives you space to consider your options and choose a way forward that supports your people and your business.

How we can help

We know these situations can put you under pressure, especially when they’re sensitive or you’re not sure where to start – but you don’t have to handle them on your own.

Our team can talk through what’s happened and help you understand your options. If you need an independent investigator, support with an informal conversation or a trained mediator, we’ll work alongside you to find the right approach.

With practical advice from the outset, you can feel clearer about your next steps and deal with the concern fairly, with support for both your people and your business.

If you’re not sure what to do next, get in touch with our team at info@realityhr.co.uk or call 01256 328 428

About the author: Nicola Gater, Head of Product and Process

Nicola has vast experience in a broad range of sectors and expertise in the employment implications of mergers and acquisitions, including the challenges of TUPE regulations. Nicola also works on diversity and inclusion projects, company culture exercises, rewards and performance management programmes, and day-to-day HR.