Investigations
Managers must carry out necessary, reasonable and fair investigations of all potential disciplinary matters. They must establish the facts of the case without any unreasonable delay. There may be a need for a formal investigation before a disciplinary hearing.
Managers will undertake preliminary enquiries before they commission a formal investigation. They will talk to all employees involved to see if there is a need for a formal investigation.
Managers will not need a formal investigation when:
- there is clear evidence to support that the act of misconduct occurred
- it is unlikely it will uncover further evidence or acts of misconduct
Human Resources (HR) can offer advice on the level of investigation required.
If it is evident from the preliminary enquiries that there is misconduct at a level that would warrant a written or final written warning and that a full investigation is unlikely to uncover any further misconduct or evidence and the employee accepts the findings, it may be in the interests of the organisation and the employee to save the time and distress of a full investigation and offer a written or final written warning outside of a hearing at this point. If the employee accepts this, there will be no right of appeal. If the employee does not accept it, then a full investigation will be commissioned. See section on Sanction outside of a hearing.
Managers must report allegations of fraud to the counter fraud and investigations team. They must do this before any investigation begins. This team will work with HR to determine the appropriate next steps. This is in line with our counter fraud policy and our whistleblowing policy.
Before an employer investigation, we will appoint an independent investigating manager. They will carry out the investigation as soon as practical. We have the right to appoint an external investigator where:
- the issue is complex or serious
- an external perspective would be of value
The investigating manager will maintain a record of all related meetings. They will collate witness statements, where appropriate. They may refer to them in a disciplinary hearing.
We may take disciplinary action if an interviewee:
- provides deliberately false information, or
- discusses the issue outside of the process
The investigating manager will prepare a report for the disciplining manager who will then determine whether to convene a formal disciplinary hearing.
Where an investigation takes place and the employee accepts its findings or the manager is certain they would not be looking at a dismissal, the manager may offer the employee a disciplinary sanction of a written or final written warning without the need for a disciplinary hearing. Where the sanction is accepted by the employee, they will have no right of appeal. If the employee does not accept the sanction, the manager should arrange a formal hearing. See section on sanction outside of a hearing.
Managers may decide not to follow any further formal steps. Employees may need to make some improvements or changes. Managers may record these as a management action on a Record of Action form. They will discuss and issue these to employees. These will remain as a record for a period of six months.
Employees may ask to be accompanied to investigation meetings by:
- a work colleague
- trade union representatives or officials
Employees are responsible for making arrangements to be accompanied. It must not cause a delay. There is no statutory right for employees to be accompanied to investigatory meetings.