How to carry out a disciplinary investigation

A disciplinary investigation is a process that aims to determine whether formal disciplinary proceedings are necessary. It involves gathering facts and exploring plausible explanations for the issue being investigated. Conducting a thorough investigation is crucial, especially if the conduct issue could result in dismissal.

The purpose of an investigation is to determine the facts surrounding the issue. If an issue can be resolved informally, there is little merit in proceeding to a formal disciplinary hearing, which could undermine the trust and confidence between the employer and the employee.

When conducting an investigation, details that surround the allegation should be investigated, such as interviewing witnesses, reviewing evidence (which could be paper-based or electronic or even CCTV), and keeping an open mind. It is essential to commence the investigation as soon as an issue has been uncovered and completed without undue delay because individuals can forget or have an unclear recollection, evidence could be destroyed, or witnesses can be intimidated.

The line manager of the employee should conduct the investigation as they are closest to that person, team and would have knowledge about the incident. However, the person who conducts the investigation may not be appropriate to hear any potential disciplinary or appeal that may be the outcome following the investigation.

During an investigation meeting, an employee does not have the statutory right to be accompanied or represented. However, an employer should not unreasonably refuse an employee to be accompanied or represented at such meetings. The employee may be nervous or not be able to speak English.

At the end of the investigation, a report should be compiled with all the witness statements and evidence that were considered, along with recommendations for next steps, such as disciplinary action recommended or the outcome of the grievance.

It is crucial to conduct a disciplinary investigation properly to minimize the risk of unfair dismissal claims and maintain a positive working relationship between the employer and employees. If you require assistance with a disciplinary investigation, contact a professional employment law firm to provide advice and guidance.

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