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Disciplinary Investigations

Call us today for a free initial consultation on 0333 772 0611

Disciplinary Investigations

Castle Associates can assist you by reviewing, evaluating and discussing the evidence against you; to advise you in how to question and challenge the case against you; prepare a comprehensive response to any allegation; to highlight concerns you may have and make every effort to ensure you get a fair and reasonable hearing. 

What to expect during a disciplinary investigation?

A disciplinary investigation will normally take place when an employee is suspected of misconduct or any wrongdoing and this will be at the start of any disciplinary action. The investigation should be used as a fact-finding exercise to establish the facts of the case and decide whether or not any further action is required. The investigating manager should be someone who is not involved in the incident/reason for the investigation.
The types of checks that could take place during an investigation may include:
  • Whether there is any relevant documentation on our file, eg previous and relevant warnings, and whether these are still “in date”
  • Consulting any relevant managers who may have knowledge of the employee in order to help establish facts
  • Identifying / interviewing witnesses as soon as possible to establish their version of events
  • Conduct an investigatory interview with the you, if appropriate, to establish the facts

We understand that the investigatory process can be a stressful time, we can provide some free initial telephone advice with regards to your situation and help guide you through the process.

For a free, no obligation telephone consultation please contact us or fill out the call back request and we will be happy to arrange for an advisor to discuss your situation. 0115 9696016.

What else do I need to know?

Can I bring a trade union representative with me to my meeting?

Unlike a disciplinary hearing you do not have a statutory right to be accompanied by a trade union representative during the disciplinary investigation process; however, the ACAS code of practice does suggest that it is good practice for employers to allow the employee to be accompanied; so making a reasonable request at this point is always a good idea.

We can certainly help with writing the letter to make this request. For a free, no obligation telephone consultation please contact us or fill out the call back request and we will be happy to arrange for an advisor to discuss your situation. 0115 9696016.

It is also important to check your contract or company handbook, as many employers will allow trade union representation during the disciplinary investigation process. If you would like face-to-face support during an investigation meeting, we can provide you with an accredited trade union representative to accompany you to your meeting.

What should I say at the disciplinary investigation meeting?

The investigating manager is there to set out the allegations against you and ask you relevant questions to establish the facts of the case. It is important that you clearly understand what the allegations are and you should ask relevant questions and ask for relevant information so you can understand what the allegations are. Also take any relevant documentation with you to the meeting and have a list of names of any witnesses, who can support your version of events, if relevant.

What is the difference between a disciplinary investigation and a disciplinary hearing?

The purpose of a disciplinary investigatory meeting is to establish the facts of the case, i.e. what really happened, dates, documentation, witnesses, where and when incidents allegedly occurred, including looking at mitigating reasons, if relevant. The company will not be taking any action against you at this meeting.

The purpose of a disciplinary hearing is to decide on all the evidence presented by you and from the investigation, what action to take, i.e. whether to award a disciplinary sanction including dismissal or no sanction at all, they may even recommend training as an outcome.

What happens once the investigation has finished?

The investigation manager should first provide you with minutes from the meeting of what was said in relation to the allegations. The minutes will not normally be verbatim but it is so important that they do reflect what you said and you should not sign them unless you are happy with the minutes. Should you not be happy with the minutes produced make the necessary changes to confirm your responses to the questions put to you, your trade union representative will be able to help you with this, if you are accompanied.

It is good practice for the investigation manager to prepare a report on completion of the disciplinary investigation that summarises the key findings and states whether or not there are sufficient grounds to instigate disciplinary action. The report should be treated as confidential.

The employer will normally write to you once the disciplinary investigation is completed to advise you of the next step. This could be the allegations will be dropped and will return to work if you are suspended or you will be invited to a disciplinary hearing.

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We offer support on a wide range of employment law and HR issues. Our dedicated advisors are here to answer your questions and help you with your concerns. Your call is free and with no obligation. Calls may be recorded for monitoring and training purposes.