Disciplinary Investigation

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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

Castle Associates can assist employers by reviewing, evaluating and discussing the evidence against the employee and attempt to pre-determine what the outcome of the case will be; saving you valuable time.

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.

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