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Disciplinary Procedures

How to Conduct a Disciplinary Investigation


Look in detail at allegations of misconduct against an employee and establish if there is any evidence to suggest that the employee may be guilty of the alleged misconduct.

At a glance


  • what is required of the investigation?
  • what information will be required and from whom?


  • identify who to interview
  • arrange meetings in an appropriate order
  • plan what to ask each witness
  • what other evidence is required?


  • identify witnesses
  • identify other witnesses from names suggested by witnesses
  • seek written and other evidence to substantiate claims/allegations


  • be prepared to ask probing questions beyond those planned
  • establish what evidence witnesses can provide to support and substantiate their evidence
  • don’t accept substantive statements from witnesses as statements of fact

Follow Up

  • leads emerging from evidence gathered and statements taken from witnesses
  • be flexible in terms of the leads that are followed up
  • remain focused on the objectives of the investigation

Complete All Lines of Enquiry

  • don’t assume something is not relevant to the investigation just because, for example, it came from an unreliable source
  • Report the facts gathered and separate them from unsubstantiated statements and hearsay that cannot be supported by further evidence.

It is important to refer to the full guidance contained in the Disciplinary Guidance prior to conducting a disciplinary investigation.