Disciplinary Investigation Form

Disciplinary Investigation Form Template for England and Wales

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Key Requirements PROMPT example:

"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) @ tiktok��˰� | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Corporate
Public Sector
Education
Healthcare
Non-profit

Relevant Teams

Human Resources
Legal
Compliance
Operations
Employee Relations

Relevant Roles

HR Manager
Line Manager
Department Head
Compliance Officer
Employee Relations Specialist

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Authors

Alex Denne

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