Disciplinary investigation

In order to conduct disciplinary proceedings fairly, the organisation will need to first carry out a disciplinary investigation to establish the facts. A thorough, well-conducted investigation may prevent cases of unfair dismissal and keep the organisation out of the courts.

Organisations should ensure that the investigation is carried out in accordance with the Acas Code of Practice on Disciplinary and Grievance Procedures.

Having established the facts, the employer should decide whether to drop the matter, deal with it informally, or arrange a formal meeting.

The following steps should be followed when conducting an investigation:

1. Designate an investigator

Appoint a manager to investigate the allegation(s). In a serious or complex case there might be a panel of investigators, including members of management and trustees, appropriate to the size of the organisation.

The investigator should not be or have been involved in the matter being investigated to help ensure they are able to remain objective.

When deciding on who to investigate, the employer needs to try to ensure the investigator will not be involved in any subsequent hearing.

2. Gather information

Gather information as soon as possible, speaking to witnesses and concerned parties while memories are still fresh.

3. Take statements

Take formal statements from witnesses and concerned parties. These should be signed and dated wherever possible.

4. Collect evidence

Collect any relevant documents or material evidence.

This could include documentation such as relevant processes and procedures, training records, employment records (such as current warnings) which are linked to the allegations or the individual, in addition to witness statements.

5. Put hearsay to one side

Avoid making judgements based on hearsay and concentrate purely on facts.

6. Keep records

Keep a record of the investigation and its outcome. In the event the matter is progressed to a formal disciplinary hearing, a copy of the investigation and associated evidence will need to be supplied to the employee under investigation.