When concerns arise in the workplace, many employers and employees ask: is an investigation meeting the same as a disciplinary hearing? The terms are often used interchangeably, but they refer to two distinct stages of a disciplinary process. The key difference is that an investigation is used to gather evidence, whereas a disciplinary hearing is where that evidence is presented, the employee puts forward their case, and a decision is made on whether a sanction should be imposed. Confusing these stages can lead to procedural errors, employee mistrust, and potential non-compliance. This article explains the differences and outlines what to expect at each stage.
Contents
- What is an investigation meeting?
- What is the purpose of an investigation meeting?
- What happens after the disciplinary investigation?
- What is a disciplinary hearing?
- Key differences between a disciplinary investigation and a disciplinary hearing
- Employee rights at a disciplinary hearing
- Common misunderstandings regarding investigation meetings
- Legal consequences of procedural errors
- How should employees prepare for an investigation meeting?
- Appeals and further safeguards
What is an investigation meeting?
An investigation meeting is part of the fact-finding phase when an employer becomes aware of a potential issue, such as misconduct. The purpose is not to determine guilt or impose disciplinary sanctions. Instead, it is to establish what happened by gathering information, interviewing relevant individuals, and reviewing documents, records, or other evidence.
What is the purpose of an investigation meeting?
Essentially, the purpose of an investigation is to determine whether there is a case to answer. The investigator’s role is to collect evidence objectively and present it in a balanced report. This report should summarise findings and identify inconsistencies, but it should not recommend disciplinary sanctions: the role of the investigator is to decide whether or not any of the allegations should progress to a disciplinary hearing.
What happens after the disciplinary investigation?
If there is found to be no case to answer, the matter should be closed and the employee informed. If the evidence suggests potential misconduct the matter may proceed to a disciplinary hearing.
What is a disciplinary hearing?
A disciplinary hearing is a formal meeting where the evidence is considered. The employee should have an opportunity to put forward their case, challenge the evidence, and present mitigation. The disciplinary panel then decides whether or not what was alleged had occurred and, if so, whether there should be a disciplinary sanction and, if so, what form that disciplinary sanction should take. Sanctions can range from a warning to dismissal.
Key differences between a disciplinary investigation and a disciplinary hearing
As said above, the investigation meeting is where evidence is gathered. The disciplinary hearing is where that evidence is heard, the employee presents their case, and a decision is made on whether a disciplinary sanction is appropriate and what that should be. Blurring these stages can undermine fairness and potentially expose the organisation to legal action such as a claim for unfair dismissal.
Employee rights at a disciplinary hearing
At a disciplinary hearing, employees have a right to be accompanied by a trade union representative or a workplace colleague. They should receive reasonable notice of the allegations, copies of the evidence that will be considered at the disciplinary hearing, and details of possible outcomes, along with adequate time to prepare.
The situation is different in relation to disciplinary investigation meetings. For example, there is not a legal right to be accompanied during disciplinary investigation meetings.
Common misunderstandings regarding investigation meetings
A common misconception is that an investigation meeting is simply the first disciplinary meeting. Employees may also assume that an investigation automatically means disciplinary action will follow. In reality, many investigations conclude with no further action. Clear communication helps manage expectations and reduces anxiety.
Legal consequences of procedural errors
Organisations are expected to follow fair procedures, including those outlined in the ACAS Code of Practice. Failing to conduct a proper investigation or not behaving reasonably during the disciplinary hearing, may render a dismissal unfair. Furthermore, Employment tribunals may increase compensation if an employer unreasonably fails to follow the Code. For information on what is the ACAS code of practice? Read our blog.
How should employees prepare for an investigation meeting?
Employees should take investigation meetings seriously, even though they are not disciplinary hearings. They should provide accurate information, ask questions about the process, and consider seeking professional advice beforehand. Keeping personal notes and requesting copies of records can be helpful. Early advice can significantly influence later outcomes.
Appeals and further safeguards
Employees have the right to appeal disciplinary decisions. Appeals should ideally be heard by someone not previously involved. The appeal process can correct procedural errors, reassess evidence, or consider new information.
Plotkin & Chandler works exclusively in the areas of HR and employment law.
If you are an employer who would like advice on disciplinary matters, you would like assistance with carrying out an independent investigation, undertaking a disciplinary hearing, you would like to discuss training for your organisation or you need assistance on defending an Employment Tribunal claim, we can help.
If you are an employee and would like advice on the disciplinary process or you have been dismissed and would like to discuss bringing an Employment Tribunal claim, we can help. Please contact us on 020 3923 8616 to discuss your needs and requirements or email us on info@plotkinandchandler.com
