Disciplinary Investigations

Modified on Wed, 21 May, 2025 at 3:17 PM

The purpose of an investigation is to establish the facts and to help an employer determine if there is a case to answer and what, if any further action is necessary.

An investigation is normally needed when an employer has concerns or receives a complaint about an employee's

Behaviour at work (misconduct)
Standard of work (capability)
Absence from work

Whilst informal resolution is always encouraged for minor issues, a formal investigation is usually required for more serious matters or when informal approaches have failed.

The Key Principles of a Fair Investigation are:

Promptness: Investigations should be carried out as quickly as possible while ensuring thoroughness.
Impartiality: The investigator should be objective and not have been involved in or witnessed the alleged incident. Ideally, the investigator should be different from the person who will chair any subsequent disciplinary hearing. In smaller organisations where this is difficult, external investigators can be considered.
Confidentiality: The investigation process should be kept confidential, and all parties involved should be made aware of this.
Clear Scope (Terms of Reference): The purpose and scope of the investigation should be clearly defined at the outset, outlining what will be examined and how findings will be presented.
Gathering Evidence: This involves collecting all relevant documentation (e.g., emails, messages, policies) and interviewing witnesses.
Interviewing the Employee: The employee under investigation should be given the opportunity to provide their account of events. While there's no statutory right to be accompanied at an investigatory interview, some employers allow it as good practice or as a reasonable adjustment for a disability.
No Assumption of Guilt: The investigator's role is to establish facts, not to prove guilt.

The Employee Rights During an Investigation are:

Right to know the allegations: Employees should be informed clearly about the allegations against them and the purpose of the investigation.
Right to present their side: They must be given a full opportunity to explain their version of events and provide any relevant evidence.

After the investigation is complete, the employer will review the evidence to determine if there is a case to answer. Possible outcomes include:

No action: If the allegations are not substantiated.
Informal action: For minor issues that can be resolved without formal disciplinary proceedings.
Inviting the employee to a formal disciplinary hearing: If misconduct or poor performance is confirmed, this can range from a first or final written warning, demotion, or even dismissal.

To prepare for the investigation you should:

Request full details in writing: Your employer should provide you with a letter or email outlining the specific allegations against you. If they haven't, ask for it immediately. This letter should also inform you of the purpose of the meeting.
Clarify any ambiguities: If anything in the allegations is unclear, ask for clarification. Don't be afraid to ask questions.
Identify the specific policies breached (if applicable): Understand which company policies or procedures your employer believes you have violated. Request copies of these policies if you don't have them.

Gather Information and Evidence and collect all relevant documents:

Emails, text messages, or other communications relevant to the allegations.
Your employment contract and any relevant company policies (e.g., code of conduct, internet usage policy, social media policy, attendance policy).
Performance reviews, appraisals, or any records that demonstrate your work history and performance.
CCTV footage, computer logs, or other physical evidence if applicable and you have access to it.

Create a timeline of events: Write down a chronological account of everything you remember related to the allegations. Include dates, times, people involved, and what happened. This can be a valuable memory aid.
Identify potential witnesses: Think about anyone who might have witnessed the events or can provide information that supports your version of events. Ask them if they would be willing to provide a statement or speak to the investigator.
Prepare your own statement: Write a detailed statement responding to each allegation. This will help you structure your thoughts and ensure you don't miss anything during the meeting. Be factual and provide your side of the story clearly.

Seek Support and Representation: If the investigation leads to a formal disciplinary hearing, you have a statutory right to be accompanied by:

A fellow worker (a colleague).
A trade union representative.