How to conduct a disciplinary investigation

Author: Tina Elliott and Lynda Macdonald

Summary

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• Take into account that a reasonable disciplinary investigation will be essential to a fair dismissal for misconduct.
• Be aware that the Acas code of practice on disciplinary and grievance procedures includes recommendations about disciplinary investigations.
• Understand the purpose of the investigation and the role of the investigating officer.
• Make sure that the investigating officer is not connected in any way to the facts giving rise to the disciplinary charge.
• Define the scope of the investigation.
• Consider if it is necessary to suspend the employee during the investigation.
• Where necessary arrange an investigatory interview with the employee accused of misconduct, to obtain their account of events.
• Be aware that, although there is no statutory right for an individual to be accompanied at an investigatory hearing, the right may apply under the disciplinary procedure, through custom and practice or as a reasonable adjustment.
• Put appropriate questions to the employee to establish the facts, ensuring that the interview does not turn into a disciplinary hearing.
• Arrange interviews with witnesses to obtain their account of the incident or events.
• Collect any relevant documents.
• Compile all the evidence gathered in the investigation to be used to determine whether a disciplinary hearing is warranted.