Advising managers: how to conduct a disciplinary investigation
Advising managers: how to conduct a disciplinary investigation

The following Employment practice note provides comprehensive and up to date legal information covering:

  • Advising managers: how to conduct a disciplinary investigation
  • The purpose of a disciplinary investigation
  • Legal considerations and implications
  • When to conduct a disciplinary investigation
  • Choosing the person to conduct a disciplinary investigation
  • Appointing an external investigator
  • Disciplinary investigation process
  • Taking witness statements
  • Conducting investigative interviews
  • Gathering documentary evidence
  • More...

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. At this point in time (referred to in UK law as ‘IP completion day’), key transitional arrangements come to an end and significant changes begin to take effect across the UK’s legal regime. This document contains guidance on subjects impacted by these changes. Before continuing your research, see Practice Note: Brexit and IP completion day—implications for employment lawyers.

Coronavirus (COVID-19): Issues relating to handling disciplinary and grievance matters during the coronavirus (COVID-19) pandemic are considered in Practice Note: Coronavirus (COVID-19)—handling disciplinary and grievance issues during the pandemic.

Where a conduct issue arises in the workplace, the first stage in managing that issue is to investigate the problem, in order to establish the facts of the case. This is essential if the employer is to act fairly. See Practice Notes: Managing conduct—Investigating a problem and Dismissing fairly for conduct reasons—Procedure to dismiss fairly for misconduct—Investigation for further information.

The paragraphs below set out guidance for managers on how to conduct such a disciplinary investigation.

The purpose of a disciplinary investigation

A disciplinary investigation is an investigation to establish all the circumstances and facts surrounding an allegation of misconduct against an employee.

Its main purpose is to gather all the evidence

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