Disciplinary Investigation

1Inform the employee they are the subject of an investigation

Importance: Essential

Use the template letter attached to inform the employee.

2Gather physical evidence

Importance: Essential

Carry out an investigation to gain as much information as reasonably possible about the employee’s alleged misconduct or poor performance.

The person investigating should get all the information they reasonably can and need for the case.

They should work out what physical evidence is needed based on:

– what’s laid out in the investigation plan
– what sources of information they can use
– any time limits, for example records getting deleted.

More evidence may come to light as the investigation goes on, so the person investigating should allow for this.

Types of physical evidence could include:

– emails
– paperwork
– receipts
– computer records
– phone records
– CCTV recordings
– attendance records

2.1Invite the employee to an investigation meeting

Importance: Essential

Use the template letter attached to invite the employee to an investigation meeting.

Book a meeting room for the meeting.

2.2Conduct the investigation meeting

Importance: Essential

Present the allegation/s to the employee and the supporting evidence.

Probe the employee to find out their version of events.

Use the template attached to document the meeting.

2.2.1Sign the investigation meeting sheet

Importance: Essential

Investigator & employee to sign investigation meeting sheet.

3Review the evidence — is there a case to answer?

Importance: Essential

Does the investigation show the employee they have a case to answer?

If ‘YES’ then proceed to your disciplinary meeting template.
(add a link to your disciplinary meeting template, here!)

If ‘NO’ then inform the employee that there is not a case to answer by using the letter template attached.