Separate investigation from decision-making wherever practicable. Give people enough information and a genuine opportunity to respond before reaching an outcome.
Understand the two processes
A disciplinary process considers concerns about an employee's conduct or, depending on policy, another workplace failing. A grievance process gives an employee a formal route to raise a complaint about work, treatment or colleagues.
The processes can overlap. A grievance raised during disciplinary action may need separate investigation, a pause or coordinated handling depending on the facts. Avoid assuming it is merely tactical.
- Use the relevant current policy
- Identify who will investigate, hear and decide
- Manage conflicts of interest
- Explain how overlapping issues will be handled
Investigate before deciding
Gather enough information to understand whether there is a case to answer. The depth of investigation should reflect the seriousness and complexity of the issue.
Keep an open mind, preserve relevant evidence and interview the people who can materially help. The investigator should present facts and findings without turning the process into a disciplinary hearing.
- Clarify the allegation or grievance
- Collect documents and witness accounts
- Test contradictory evidence
- Record the investigation and any limitations
Run a fair disciplinary meeting
If formal action is contemplated, write to the employee with sufficient detail, evidence, meeting arrangements and the possible consequences. Allow reasonable time to prepare and explain the right to be accompanied where it applies.
At the meeting, set out the concern and let the employee respond fully, ask questions and present evidence. Adjourn before deciding so the response can be considered properly.
- Avoid announcing a decision in advance
- Consider mitigation and consistency
- Use a proportionate outcome
- Confirm the decision and appeal route in writing
Handle grievances with the same care
Acknowledge the grievance promptly and clarify the outcome the employee seeks. Investigate impartially, then meet with the employee so they can explain the concern and respond to questions.
The outcome should address the material issues and explain any action that can appropriately be disclosed. Where relationships are damaged, mediation or facilitated conversations may complement—but not replace—necessary fact-finding.
- Treat informal concerns seriously
- Protect against retaliation
- Keep personal information appropriately restricted
- Offer an impartial appeal
Common mistakes to avoid
Delay, inconsistent treatment and poor records can undermine confidence even where the underlying concern is valid. Managers also create risk when they promise confidentiality that cannot be maintained or treat an allegation as proven.
Seek support early when allegations are serious, senior employees are involved or dismissal is a possible outcome. Early advice can protect the fairness of each later stage.
- Skipping or narrowing the investigation unfairly
- Relying on anonymous assertions without testing them
- Using the same conflicted person at every stage
- Failing to explain reasoning in the outcome
Originally published 9 January 2025. This guide provides general information for employers and is not legal advice. Employment law and guidance can change; check current requirements and take advice on the facts of a live situation.