Conducting a Disciplinary Investigation in 10 Steps

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Managing a disciplinary investigation can be complicated.

There’s likely to be a lot of emotion flying around and you must ensure you follow an exact process, as a poorly managed case could escalate to an employment tribunal.

  1. You must conduct a reasonable disciplinary investigation to ensure any action you take is fair.
  2. Make sure the investigating officer is not connected in any way to the allegations.
  3. There should not be an unreasonable delay to carrying out the investigations.
  4. Suspend the employee if it is necessary to ensure a fair investigation takes place.
  5. Arrange an investigatory meeting with the employee and take detailed notes of their account.
  6. Interview witnesses and take their statements.
  7. Ensure all documents associated with the allegations are collected as evidence.
  8. Prepare a document set and witness statement to be submitted to the disciplinary hearing, and to the employee in advance of the hearing.
  9.  The employee does not have a statutory right to be accompanied to the meeting but your procedure may state they can.
  10. Call the Business Support Helpline, which is on-hand 24 hours a day for all employment law enquiries (MIA members have FREE access to this line).

Need some help with managing a disciplinary investigation? Could you benefit from some practical expert advice to help protect your business from a potential claim, or assistance with managing an on-going situation?

MIA members benefit from FREE advice from Croner.  Email alice@mia.org.uk or call 01403 800500 for the exclusive Business Support Helpline scheme number.