Policies, contracts, letters, guidance and HR support tools for UK employers.
View full library
If you are considering conducting a disciplinary investigation, use this guide to help you carry it out it legally and effectively.
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:
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
To view in full, make a purchase
For more value, this is also found in our Full library and Disciplinary templates toolkit
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.
Related HR resources and workflow
Explore the HR resources that may be relevant before and / or after using the Managers guide to conducting a disciplinary investigation, helping you understand the wider process, maintain appropriate documentation and follow a consistent approach.
Our Investigation Plan Template provides a clear structure for conducting fair, thorough, and compliant workplace investigations, ensuring consistency and efficiency.
Here are some key UK employment legislation that govern the implementation of a guide to conducting a disciplinary investigation:
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.
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.
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.
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.
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.
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.
Yes. This template has been designed for organisations of all sizes, including small businesses, charities and growing employers. It follows UK employment law best practice and can be adapted to suit your organisation.
Our templates are developed with UK employment legislation, Acas guidance and HR best practice in mind and are reviewed and updated as relevant requirements change. However, every employment situation is different, so the template should be adapted to the circumstances and checked against the employee's contract and your organisation's procedures before use.
Yes, we highlight the areas of the document 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.
Yes. Once purchased, you'll be able to download it instantly. Templates are provided in editable format (such as .doc or .xls) so you can customise them easily, and in PDF format for easy sharing.
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 deeper advice.
AI can produce a document quickly, but effective HR documentation needs to be more than well-written words. It needs to reflect relevant UK employment law, HR best practice, practical considerations and the circumstances in which it will be used. These resources have been professionally developed around that wider HR context, drawing on extensive practical experience, rather than simply generating a generic document from a prompt.
Darryl Horn, Chartered HR Director
Darryl is a Chartered HR professional with over 25 years' experience in senior HR and employee relations roles.
He has extensive practical experience of managing disciplinary processes and founded hrdocbox to provide businesses with practical, professionally developed HR resources grounded in UK employment law and best practice.
"Darryl provides support and advice with excellent judgement, and has a strong understanding of people, policies and UK employment legislation."
"He is someone I trust; consistent, dependable, and committed to doing things properly."
Disciplinary toolkit
50 templates
£34.90
Whether you employ 5 people or 50, hrdocbox gives you the structure, documents and expertise needed to manage employees professionally and legally.
Professionally written and fully compliant with UK employment law
Access a free contract template instantly - or save 10% on any document today.
Use this code at checkout for 10% off anything!
Includes instant download, updates, and full access to your HR templates.
Management library
467 templates
Full library
776 templates