How to conduct a disciplinary investigation

The disciplinary investigation is key to the process that must be followed prior to carrying out a fair dismissal, as an inadequate investigation may render the dismissal unfair.

For a dismissal to be fair, the employer must first establish that it is for one of the potentially fair reasons set out in s.98(2) of the Employment Rights Act 1996 - capability, conduct, redundancy or breach of a statutory enactment - or under the heading of some other substantial reason. Having established the reason for dismissal, the employer must show that it acted fairly in all the circumstances.

General principles

The investigating officer should not be connected in any way to the facts giving rise to the disciplinary charge in order to avoid any suggestion of bias in the way that the investigation is conducted. The Acas code of practice on disciplinary and grievance procedures  states that “where practicable, different people should carry out the investigation and disciplinary hearing”.