Managers guide to conducting a disciplinary investigation
If you are considering conducting a disciplinary investigation, use this guide to help you carry it out it legally and effectively.
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Managers guide to conducting a disciplinary investigation
A disciplinary investigation is where your organisation needs to look further into the conduct of an employee, or to ascertain the facts surrounding an incident or allegation, prior to taking disciplinary action.
It is not always the case that a disciplinary investigation will result in a disciplinary hearing. The aim of the investigation is to establish whether there the employee has a case to answer.Specific examples of when a disciplinary investigation would be needed include, but are not limited to:
- allegations of rudeness or poor behaviour;
- allegations of poor time-keeping;
- allegations of harassment or bullying;
- an allegation that an employee was drunk or under the influence of drugs at work.
Generally, an investigation would be used where there is a question-mark over the facts surrounding a workplace allegation against an employee of some form of misconduct or inappropriate or unlawful behaviour.Even where an employee has already admitted that they have done something wrong, in many cases it will still be necessary to conduct an investigation in order fully to understand the circumstances and ensure that everyone involved is treated fairly. It can also assist the employer in deciding its next steps, and provide valuable evidence, both against the employee
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The purpose of the guide to conducting a disciplinary investigation is to provide a structured approach for employers or HR professionals to follow when investigating a potential employee misconduct or violation of company policies. The guide serves as a framework to ensure that the investigation is conducted in a fair, thorough, and impartial manner, and that all parties involved are treated with respect and dignity.
Additionally, a guide helps ensure that all relevant facts are gathered, documented, and analysed, and that the investigation complies with legal and regulatory requirements.
A well-conducted investigation can help protect the organisation from legal liabilities, and can also help to maintain a positive work environment and employee morale.
Compliance
Compliance
This Managers guide to conducting a disciplinary investigation incorporates relevant UK laws and HR standards, including those listed below:
Here are some key UK employment legislation that govern the implementation of a guide to conducting a disciplinary investigation:
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Employment Rights Act 1996: This Act sets out the statutory framework for disciplinary and grievance procedures, and requires employers to provide employees with a written statement of their disciplinary procedures.
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ACAS Code of Practice on Disciplinary and Grievance Procedures: This Code provides practical guidance on how to handle disciplinary and grievance issues in the workplace, and sets out the basic principles of fairness and transparency that should underpin disciplinary investigations.
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Data Protection Act 2018: This Act governs the collection, use, and storage of personal data, including data gathered during a disciplinary investigation. Employers must ensure that any data collected during an investigation is handled in accordance with the principles of data protection law.
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Equality Act 2010: This Act prohibits discrimination on the grounds of protected characteristics, including age, gender, race, and disability. Employers must ensure that their disciplinary procedures do not discriminate against any employee or group of employees.
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Human Rights Act 1998: This Act incorporates the European Convention on Human Rights into UK law, and requires employers to respect the rights of employees during a disciplinary investigation, including the right to a fair hearing and the right to privacy.
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Trade Union and Labour Relations (Consolidation) Act 1992: This Act governs the relationship between employers and trade unions, and sets out the procedures for collective bargaining and consultation. Employers must ensure that their disciplinary procedures comply with the requirements of the Act.
Flowchart
Flowchart
Check which resources should be implemeted before and/or after the Managers guide to conducting a disciplinary investigation, to understand the workflow.
Investigation plan
Our Investigation Plan Template provides a clear structure for conducting fair, thorough, and compliant workplace investigations, ensuring consistency and efficiency.
Frequently Asked Questions
Frequently Asked Questions
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Can I use this template in my small business?
Yes. The Managers guide to conducting a disciplinary investigation is designed to be flexible and suitable for organisations of all sizes, including small businesses and charities. It follows UK employment law best practice, so even if you don't have an in-house HR team, you can confidently apply it.
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Is this template compliant with 2025 UK employment law?
Absolutely. Like the Managers guide to conducting a disciplinary investigation, all of our templates are drafted with the latest ACAS guidance and UK employment legislation in mind. We review and update them regularly, so you can be confident they remain compliant.
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Can I customise this template for my organisation?
Yes, in the Managers guide to conducting a disciplinary investigation, as with all of our templates, we highlight the areas that you need to update with your own details, and where you need to make decisions to suit your situation. This saves you time and ensures that you meet best practice.
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Do I get instant access to the template?
Yes. Once purchased, you'll be able to download the Managers guide to conducting a disciplinary investigation instantly. Templates are provided in editable Word or Excel format so you can customise them easily, and in PDF format for easy sharing.
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What if I need more help, not just this template?
If you're looking for broader support, we also offer toolkits and library bundles that include the Managers guide to conducting a disciplinary investigation along with other HR templates and policies for fully managing your situation. These may be more cost-effective if you need a complete HR library.
