Disciplinary or grievance investigation checklist form template
Supporting information
Our Disciplinary or Grievance Investigation Checklist Form template ensures thorough and consistent investigations, maintaining fairness and compliance throughout the process.
Disciplinary or grievance investigation checklist form
This checklist is a starting point and should be tailored to the specific circumstances of each investigation.
Date
[Insert Date]
Investigator(s)
[Insert Name(s)]
Complaint or Allegation
[Insert Description of Complaint or Allegation]
Review Complaint or Allegation
- Review the complaint or allegation to ensure it is complete and includes all necessary information.
Identify Witnesses
- Identify witnesses who have knowledge of the incident or situation.
- Schedule interviews with witnesses.
Gather Evidence
- Collect and review all relevant documents, emails, text messages, and other forms of communication.
- Gather any physical evidence that may be relevant to the investigation.
Interview Witnesses
- Conduct interviews with witnesses in a private and confidential setting.
- Ask open-ended questions to encourage detailed responses.
- Take detailed notes during the interviews.
Analyse Information
- Analyse all of the information collected during the investigation.
- Identify any inconsistencies or gaps in the information.
Determine Findings
- Determine whether the complaint or allegation is substantiated or unsubstantiated.
- Document the findings and the basis for the decision.
Prepare Report
- Prepare a written report of the investigation, including a summary of the findings and any recommendations for action.
- Submit the report to the appropriate parties.
Follow Up
- Follow up with any additional action steps required by the findings of the investigation.
- Monitor the situation to ensure that the recommended action is taken.
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Version: [1.0]
Issue date: [date]
What is this for?
The purpose of a disciplinary or grievance investigation plan is to provide a structured and systematic approach to conducting a fair and impartial investigation into a disciplinary or grievance matter in the workplace. The investigation plan serves as a roadmap for employers to follow when conducting an investigation, ensuring that all relevant information is gathered, and the investigation is conducted in a timely, thorough and objective manner.
By using a disciplinary or grievance investigation plan, employers can ensure that the investigation process is consistent, thorough, and objective, reducing the risk of any legal or ethical issues arising. The plan can also be used as a reference point for all parties involved in the investigation, ensuring that everyone is aware of the process and their role in it, which can help to reduce stress and anxiety for all parties involved.
Extended guidance
Employment law compliance
Here are some key UK employment legislations that support the implementation of a disciplinary or grievance investigation plan:
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Employment Rights Act 1996: This legislation requires employers to conduct disciplinary and grievance procedures in a fair and reasonable manner. A disciplinary or grievance investigation plan can help ensure that the employer meets this requirement by providing a clear and structured approach to the investigation process.
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ACAS Code of Practice: This Code provides guidance on how to handle disciplinary and grievance procedures in the workplace. The Code emphasises the importance of conducting a fair and thorough investigation, and a disciplinary or grievance investigation plan can help employers to meet the requirements of the Code.
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Data Protection Act 2018: This legislation requires employers to handle personal data in a fair and transparent manner. A disciplinary or grievance investigation plan can help employers to comply with this requirement by setting out the data protection considerations to be taken into account during the investigation.
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Human Rights Act 1998: This legislation incorporates the European Convention on Human Rights into UK law. The Act includes the right to a fair hearing, which means that employees have a right to a fair and impartial investigation. A disciplinary or grievance investigation plan can help ensure that the investigation is conducted in a fair and impartial manner, meeting the requirements of the Act.
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Equality Act 2010: This legislation prohibits discrimination in the workplace on the basis of certain protected characteristics. A disciplinary or grievance investigation plan can help ensure that the investigation is conducted in a non-discriminatory manner, meeting the requirements of the Act.
Overall, these legislations support the implementation of a disciplinary or grievance investigation plan in the UK workplace, ensuring that employers follow a fair and reasonable approach when conducting disciplinary and grievance procedures.
