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Disciplinary Investigations

A disciplinary investigation gathers and reviews evidence to help you decide whether there is a case to answer. Tell Jane provides independent disciplinary investigations that are objective, evidence-based and procedurally robust. We help you navigate investigations fairly whilst maintaining trust in the process.

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A disciplinary investigation is the foundation of a fair disciplinary process. Disciplinary investigations help your organisation respond to any concerns with an employee. It’s a structured process based on evidence and company procedures.

Having a clear investigation process helps you establish facts. You can then decide whether a formal disciplinary process is necessary.

Tell Jane provides independent disciplinary investigations that are objective, evidence based and procedurally robust. We help organisations navigate misconduct investigations fairly while reducing the risk of bias, procedural errors and legal challenge.

At Tell Jane we help you follow company procedures and support fair outcomes. With our help you reduce the risk of further workplace conflict.

What we do

What Is a Disciplinary Investigation?

A disciplinary investigation is an employer-led formal process that addresses workplace concerns or performance. Investigators gather evidence, speak to those involved, and work out whether there’s a case to answer.

Before starting your workplace disciplinary procedure, a Tell Jane disciplinary investigation establishes what happened based on the available evidence. It’s on the balance of probabilities, so what is most likely to have happened based on the evidence. Conducting fair and impartial investigations and proper processes is important. This becomes even more so should the outcome result in a tribunal.

Disciplinary investigations may involve:
  • bullying, harassment, or discrimination
  • inappropriate workplace conduct
  • serious insubordination
  • fraud, theft, or dishonest behaviour
  • breaches of company policy
  • breaches of health and safety procedures
  • misuse of company property or systems

For the employees, an investigation should set out a clear disciplinary process and expectations. It provides an opportunity for them to share their version of events. For employers, it establishes facts to help decide the next step in the procedure.

When to Start

When Should You Start a Disciplinary Investigation?

Not every workplace issue needs a formal disciplinary investigation.
In some situations, an informal conversation or managers can resolve the issue. And we can advise you. But if allegations are serious you’ll need an investigation. For example:
  • Bullying, harassment, or discrimination
  • Theft, fraud, or violence in the workplace
  • Serious insubordination
  • Breaches of policy or health and safety rules
  • Misuse of company property or data

We know acting quickly is important too. Delays can affect evidence quality and increase stress for the employees involved.

Why Disciplinary Investigations Matter

Poorly handled disciplinary investigations can bring serious problems.

And without a fair process, employee trust can disappear. If it escalates to a formal workplace disciplinary procedure, your organisation also risks legal, reputational, or workplace culture damage.

During a disciplinary investigation, the evidence must be impartial and without bias. This is not only from a workplace trust perspective but also from a legal one.

To determine if it’s right, ask:
  • Is the alleged behaviour in breach of company policy?
  • Could it amount to gross misconduct?
  • Has the issue arisen before?

If the answer is yes to any of the above, a disciplinary investigation is right.
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Our Process

The Disciplinary Investigation Process

Appointing an Investigator
Defining the Scope of the Investigation
Gathering and Securing Evidence
Interviewing Employees and Witnesses
Reviewing Findings
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Suspensions and Final Report

Suspension During  a Disciplinary Investigation

Always consider alternatives to suspension where possible. For example, temporary role changes, remote working, system restrictions, or separating those involved.

Any suspension should remain under review and should not continue longer than necessary.
Suspension should not be used as a punishment. It’s an impartial step to allow the investigation to proceed with fairness.

In some situations, temporary suspension may be necessary while the investigation takes place. For example:
  • to protect evidence
  • to prevent influence on witnesses
  • where workplace safety is a concern
  • where the allegation is particularly serious

In most cases, suspension is on full pay, unless employment contracts state otherwise.

Investigation Reports and Documentation

Our disciplinary investigation report provides a clear record of the process and findings. Investigation reports are factual and balanced.
Investigators should avoid personal opinions, assumptions, or recommendations about disciplinary sanctions. The purpose of the report is to present evidence. Then decision-makers can decide on next steps.
The report may include:
  • a summary of the allegation
  • investigation steps taken
  • evidence reviewed
  • witness information
  • findings based on the evidence
  • whether there is a case to answer

If you’re unsure about the validity of a suspension, getting legal advice is the best course of action. Even if a contract includes unpaid suspension, it could still be a breach of contract. Enforcing it could raise more formal grievances.

ACAS Guidance
and Procedural
Standards

Disciplinary investigations should follow the ACAS Code of Practice on Disciplinary and Grievance Procedures.

The ACAS Code is not law. But employment tribunals often look at whether employers followed the guidance. And if the process was fair.

What Happens After the Investigation?

Once the investigation is complete, organisations may decide:
  • there is no case to answer
  • informal resolution is appropriate
  • it needs further management action
  • the matter should proceed to a workplace disciplinary procedure
If you’re considering disciplinary action, inform employees on the next stages. Give them the opportunity to respond.

If evidence does not support the allegation? You can close the investigation and take no further action

Common Mistakes During  Disciplinary Investigations

When disciplinary investigations are poorly managed you risk extra problems:

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    Waiting too long to start an investigation risks lost evidence. It can create unnecessary stress for those involved

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    Allowing bias, personal views or employee relationships to influence the process undermines fairness

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    Improper documenting of interviews and evidence can damage the investigation’s credibility

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    Investigators should not recommend sanctions. They should only present facts based on the evidence

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    Suspending as a punishment instead of a step to support the process. This can damage trust and create more formal grievances

Get in touch

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Our consultants combine CIPD-qualified HR expertise with practical experience. They manage sensitive investigations across a wide range of workplace environments.

We balance company procedures, employee wellbeing, business risk, and real workplace situations. And we’ll help you identify the right approach for your organisation and situation.

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FAQ’s

What is a disciplinary investigation?

A disciplinary investigation is a formal process that addresses workplace concerns or performance. It’s an employer-led process where you gather evidence, speak to people involved, and work out whether there’s a case to answer.

What is the purpose of a disciplinary investigation?

The purpose is to gather evidence, find facts, and uncover whether there is a case to answer. The evidence must be impartial and without bias, so structure is vital. This is not only from a workplace perspective but also from a legal one.

When should an employer start a disciplinary investigation?

A disciplinary investigation happens where allegations are serious or involve potential concerns. may lead to formal disciplinary action.

What happens after a disciplinary investigation?

Once the investigation is complete, the organisation decides on next steps. This may include no further action or informal resolution. It could be a progression to a disciplinary hearing process. A disciplinary investigation provides the evidence to decide what action should be taken.

Can someone refuse an interview?

You cannot usually force employees to take part in an investigation interview. Encourage participation by explaining the importance of providing a fair and balanced view.

How long should an investigation take?

There is no fixed timescale. But we suggest always completing disciplinary investigations without unnecessary delay. Simple cases may take a few days. Complex allegations involving many witnesses may take several weeks. Act fast and in proportion to reduce the stress on everyone involved.

Can you dismiss someone at the investigation stage?

No. Dismissal should never occur at the investigation stage. The investigation is about gathering evidence and establishing facts. Any decision to dismiss must only come after a fair disciplinary procedure. The employee must have had the opportunity to respond.

Who should carry out the investigation?

The investigator should be someone senior, impartial and someone not involved in the allegation. In smaller organisations, this may be difficult. Which is why external investigators and consultants can provide valuable support.

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