When faced with a potential disciplinary matter a thorough and independent investigation is essential to provide you with the necessary facts and evidence for you to base your decision about the most appropriate course of action(s), which in some cases will include proceeding to a formal disciplinary meeting where the issues will be considered and appropriate sanctions or remedial action may be applied.

Failing to investigate or failing to complete a thorough investigation will undermine the disciplinary process, could lead to valuable evidence been lost and, in the case of a dismissal, lead to claims of unfair dismissal.

If your decision is challenged at an Employment Tribunal and you progressed to a disciplinary meeting without completing a thorough investigation you will struggle to back up your decision with evidence.

The Employment Tribunal would closely examine:

  • That you genuinely believed that misconduct had occurred,
  • How you reached particular decisions or recommended a course of action, and
  • Whether or not you acted reasonably in accordance with your Disciplinary Policy.

While a thorough investigation may seem time consuming and a burden on resources, carrying out a proper investigation could save time and costs in the future, because you will have evidence to back up why you made certain decisions.

Proceeding to a formal disciplinary meeting without a thorough investigation will also erode your employees trust and confidence in you.

Disciplinary Investigations

The Manager Guidance Notes cover:

  • What Exactly Is An Investigation?
  • Relevant Case Law
  • ACAS Code of Practice
  • Core Principles of Conducting and Investigation
  • Who Should Investigate?
  • How Long Will The Investigation Take?
  • Preparation
  • Notifying The Employee About The Allegations
  • What Type of Evidence Needs To Be Collected?
  • Who Should Be Interviewed As Part Of The Investigation?
  • Meeting Notes and Witness Statements
  • In What Order Should Interviews and Evidence Be Collected?
  • Preparing An Investigation Report
  • Concluding the Role of the Investigator
  • Data Subject Access Requests
  • Dealing With Difficult Issues
  • Tribunal Proceedings
  • Retention of Records
  • Best Practice
  • Summary
  • 5 Reasons To Outsource Workplace Investigations


Last date of amendment: August 2022

Download now ....

 



GDPR and Disciplinary Investigations

Internal investigations will inevitably deal with personal data, particularly employees’, and in the United Kingdom this is governed by the GDPR. As a result, those conducting internal investigations will have to consider the legal justification for the processing of personal data that may otherwise be illegal under the GDPR. Consent and legitimate interest are two of the key legal bases companies and practitioners can rely on to process data in an internal investigation and they are explored in more detail below.

Download now ....
Investigating Managers Report

This Investigation Report should be completed by the Investigator and is structured as follows:
  • Introduction
  • Methodology
  • Findings / Analysis
  • Conclusion
  • Appendices


Download now ....
Confirmation of an Investigation (Alleged Employee)

This model letter is designed to notify the employee who is the subject of the allegations what the allegations are and who will investigate them.

Download now ....
Invite to An Investigatory Interview (Witness)

The Invite to An Investigatory Interview (Witness) is designed to notify your employee that they are required to attend an investigatory interview.

Download now ....
Request For Witness Statement

The Request for Witness Statement is designed to collect information from someone outside your organisation.

Download now ....
Invite to An Investigatory Interview (Alleged Employee)

The Invite to An Investigatory Interview (Alleged Employee) is designed to notify the employee who is the subject of the allegations that they are required to attend an investigatory interview.

Download now ....
Checklist for Conducting an Investigatory Interview

An investigation meeting is simply an opportunity for an investigator to interview someone who is involved in, or has information on, the matter under investigation.

An investigation meeting must never turn into a disciplinary meeting. Where disciplinary action may be necessary a separate meeting must be arranged.

Download now ....
Summary of Investigation Interview

The Summary of Investigation Interview is a template for you to record the details of an investigation interview. There is space to record those in attendance at the meeting and the date, time and venue of the meetings. Finally, there is space for the employee to sign the summary, if the summary extends on to multiple pages ask the employee to sign every page.

Download now ....
Notice of Further Allegations Arising From The Investigation

The Notice of Further Allegations Arising From The Investigation, is designed to formally notify the employee under investigation that further allegations have come to light and are now added to the list of original allegations.

Download now ....
Confirmation of Investigation Outcome

The Confirmation of Investigation Outcome, confirms the conclusions of the investigation.

If the employee had been suspended there is an option to confirm the period has now ended and the date you expect the employee to return to work.

The outcomes are:

  • The allegations are not supported and therefore there will be no further action;
  • The allegations are supported by evidence but the extraordinary circumstance mean counselling is appropriate;
  • The allegations are supported by evidence and the matter will therefore be put before a formal disciplinary hearing.


Download now ....




Sample Description