Disciplinary Investigation Form Template for England and Wales

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Key Requirements PROMPT example:

Disciplinary Investigation Form

"I need a Disciplinary Investigation Form to document serious misconduct allegations against a senior manager in our London office, including multiple witness statements and CCTV evidence, with the investigation expected to commence on March 15, 2025."

Document background
The Disciplinary Investigation Form is a crucial document in English and Welsh employment practice, designed to ensure fair and thorough investigation of workplace issues. It is used when formal disciplinary matters arise and requires careful documentation of all steps taken, evidence collected, and conclusions reached. The form helps organizations comply with the Employment Rights Act 1996 and ACAS guidelines while protecting both employer and employee interests. It should be completed whenever a formal disciplinary investigation is conducted, particularly where serious misconduct is alleged or where the outcome might lead to formal disciplinary action.
Suggested Sections

1. Case Information: Basic details including case reference, date, investigator name, and contact information

2. Subject Details: Employee information including name, position, department, length of service, and any relevant employment history

3. Nature of Allegation: Clear description of the alleged misconduct or concern, including date, time, and location of incident(s)

4. Investigation Process: Documentation of steps taken, interviews conducted, evidence gathered, and methodology used

5. Evidence Summary: List and description of all evidence collected, including documents, testimonies, and physical evidence

6. Findings: Summary of investigation findings, conclusions, and recommendations based on the evidence gathered

Optional Sections

1. Witness Statements: Section for detailed witness accounts and testimonies when witnesses are involved in the case

2. External Evidence: Section for documenting evidence from external sources such as CCTV footage, emails, or third-party reports

3. Risk Assessment: Section for evaluating and documenting any risks identified during the investigation that require immediate attention

Suggested Schedules

1. Interview Records: Complete transcripts or detailed notes from all interviews conducted during the investigation

2. Evidence Log: Detailed chronological log of all evidence collected, including dates, sources, and chain of custody

3. Relevant Policies: Copies of workplace policies, procedures, and guidelines relevant to the investigation

4. Investigation Timeline: Chronological sequence of events, including incident(s), investigation activities, and key decisions

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Clauses
Industries

Employment Rights Act 1996: Primary legislation governing employment rights in England and Wales, including disciplinary procedures and unfair dismissal provisions

Equality Act 2010: Legislation protecting against discrimination and requiring reasonable adjustments for disabled employees during disciplinary processes

Data Protection Act 2018 and UK GDPR: Legislation governing how personal data must be handled during investigations, including storage, processing, and sharing of information

Human Rights Act 1998: Ensures respect for human rights during disciplinary proceedings, including right to fair hearing and privacy

ACAS Code of Practice: Statutory code providing practical guidance on handling disciplinary situations in the workplace, including investigations

ACAS Guide to Discipline and Grievances: Detailed guidance document explaining best practices for conducting disciplinary investigations and proceedings

Public Interest Disclosure Act 1998: Legislation protecting whistleblowers during disciplinary proceedings if the investigation relates to protected disclosures

Trade Union and Labour Relations (Consolidation) Act 1992: Legislation governing trade union involvement and representation rights during disciplinary proceedings

Police and Criminal Evidence Act 1984: Relevant when disciplinary investigations overlap with criminal matters, affecting evidence handling and procedure

Natural Justice Principles: Common law principles requiring fair hearing, unbiased decision-making, and right to respond to allegations in disciplinary proceedings

Right to be Accompanied: Statutory right for employees to be accompanied by a trade union representative or work colleague during disciplinary hearings

Confidentiality Requirements: Legal and practical obligations to maintain confidentiality during investigations while balancing transparency needs

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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