How to conduct a fair disciplinary investigation
Sod’s law, investigations needed will come at the worst or busiest time! When workplace issues arise whether it's misconduct, policy breaches or performance concerns, handling them fairly is crucial for maintaining trust, transparency and employment law requirements. A well-conducted disciplinary investigation not only ensures an appropriate outcome but also supports the organisation’s values and commitment to due process.
For managers, navigating these situations can be challenging. Here’s a step-by-step guide to help ensure disciplinary investigations are conducted fairly, respectfully and in line with best HR practices.
1. Understand the purpose of the investigation
A disciplinary investigation is not about proving guilt—it's about establishing the facts. Managers should approach investigations with an open mind and a clear objective: to gather accurate information to determine whether disciplinary action is warranted.
2. Familiarise yourself with your organisations policies
Before initiating an investigation, review relevant policies and procedures. Understanding the expected standards of behaviour will help frame the investigation and ensure consistency with how similar issues have been handled in the past.
3. Act promptly but carefully
Timeliness is critical. Delaying an investigation can lead to lost evidence (e.g. CCTV being recorded over), faded memories and increased tension. However, rushing through it may result in overlooked details or unfair treatment. Begin the process promptly and allocate the necessary time to do it properly.
4. Plan the investigation
A well-structured plan should include:
What needs to be investigated (allegations, complaints, incidents)
Who needs to be interviewed (witnesses, complainant, alleged individual)
What evidence needs to be reviewed (emails, CCTV, logs, etc.)
Who will lead the investigation (ideally someone neutral and trained remembering to keep someone separate for any disciplinary hearing and any subsequent appeal)
5. Maintain confidentiality
Confidentiality protects all parties and the integrity of the process. Share details only with those directly involved and emphasise the importance of discretion to everyone participating in the investigation.
6. Conduct fair and objective interviews
When interviewing:
Avoid assumptions or accusatory language.
Use open-ended questions to allow individuals to explain their side.
Allow support persons if your organisations policy permits.
Take thorough and impartial notes.
Everyone should be given a fair chance to present their account of events.
7. Gather and assess evidence
Review all available evidence objectively. Look for patterns, corroborating accounts and inconsistencies. Be cautious of biases, seek facts, not judgments. If evidence is unclear or conflicting, consider whether the standard of proof (“on the balance of probabilities”) is met.
8. Document everything
A well-documented investigation helps demonstrate fairness and protects both the organisation and individuals involved. Keep records of interviews, evidence reviewed, decision rationale and final outcomes. All of this will be required if it goes to disciplinary.
9. Make a reasoned decision
After evaluating all information:
Was misconduct likely to have occurred?
Is there sufficient evidence to support this?
Has the employee had the opportunity to respond?
If a disciplinary hearing is the next stage, ensure someone impartial who hasn’t been involved is available to hear this and that they have the necessary information to be able to move this forward.
As a manager, your role is pivotal not only in gathering facts but also in modelling integrity and fairness throughout the process.
Can we help you?
Having been involved in many cases over the years, we understand that these types of situations are not easy to deal with, so if you’re a Manager, Business Owner, MD or HR professional looking for support, or if you want us to do it independently, why not talk to us?
Please contact us – we’d love to hear from you.