{"id":201914,"date":"2021-01-13T18:47:17","date_gmt":"2021-01-13T05:47:17","guid":{"rendered":"https:\/\/legalvision.co.nz\/?p=201914"},"modified":"2024-06-18T18:13:11","modified_gmt":"2024-06-18T05:13:11","slug":"how-should-a-disciplinary-investigation-be-conducted","status":"publish","type":"post","link":"https:\/\/legalvision.co.nz\/employment\/how-should-a-disciplinary-investigation-be-conducted\/","title":{"rendered":"How Should a Disciplinary Investigation Be Conducted in New Zealand?"},"content":{"rendered":"\n

Investigating any serious allegations against one of your employees is never an easy or straightforward process. Unfortunately, you may have no choice but to consider an investigation if there are allegations of misconduct, bullying or harassment against one of your staff. In these situations, you must exercise your <\/span>good faith duty<\/span><\/a> to your employee to run a fair and reasonable disciplinary investigation process.<\/span><\/p>\n\n\n\n

Running an investigation is often <\/span>a compl<\/span>ex process and can change drastically depending on the circumstances. It is best practice to engage an employment lawyer if you think your business will need to conduct an investigation. However, this article will set out a general overview of the process.<\/span><\/p>\n\n\n\n

Preparation for a Disciplinary Investigation<\/span><\/h2>\n\n\n\n

When responding to allegations against one of your employees\u2019 conduct, you may consider conducting a disciplinary investigation. Suppose you feel that there is a serious issue to be investigated. In that case, the right thing to do is inform the relevant employee and advise them that you will investigate their conduct. However, in some situations, such as where a<\/span>n employee can destroy information, or threaten <\/span>others, you may want to discreetly resolve these matters before talking to the employee.  <\/span><\/p>\n\n\n\n

Other vital parts to preparing for an investigation include checking the employee\u2019s employment agreement and any business policies relevant to disciplinary investigations and the employee\u2019s conduct. <\/span><\/p>\n\n\n\n

Likewise, you must decide who should carry out the investigation<\/a>. A common misconception is that you must engage an independent investigator who is not affiliated with your business. While this may be a good option depending on the circumstances, it is not a<\/span> requirement. Instead, you can use a neutral person in the business to conduct the investigation and gather facts objectively. They should not be close to the employee under investigation or any complainants. <\/span><\/p>\n\n\n\n

Furthermore, you should plan the investigation and draft the terms of reference<\/a>, which set out how the investigation will proceed. You should give these draft terms of reference to any complainants and any employees under investigation, so they can give feedback before you finalise the plan.<\/span><\/p>\n\n\n\n

Carrying Out the Investigation<\/span><\/h2>\n\n\n\n

How you choose to carry out the investigation will inevitably depend on the circumstances. You may assign certain employees to carry out the investigation, such as HR<\/a>, or use an external third party. Some investigations may be quick and simply involve talking to a few employees. However, others may be very time-intensive and involve many different kinds of information or evidence to analyse. Most investigations will involve interviewing witnesses. When deciding to conduct a disciplinary investigation, you should note:<\/span><\/p>\n\n\n\n