Information and guidance for investigating officers
(disciplinary and grievance procedures)
Schools will have adopted policies and procedures to manage disciplinary and
grievance issues. However for an assigned investigating officer, we recognise that
this can be a daunting task, especially if this is the first investigation that they have
undertaken.
These notes are designed to give the investigating officer information and guidance
when investigating disciplinary or grievance matters to ensure that a full and fair
investigation has been undertaken. The notes also offer guidance on how to deal
with common difficulties the investigating officer may encounter during the process
The role of the Investigating Officer
The investigating officer is the impartial information gatherer who decides the
next course of action.
You will need to interview all witnesses and potential witnesses to gather their views
on the matter being investigated. Be aware that there may be a number of different
interpretations/memories/accounts of the same incident. Not everyone will have seen
or heard everything. Remain impartial – do not seek information which only supports
one version of events. There may be times when you have to re-interview individuals
to confirm and clarify details and understanding.
When you believe all the relevant information has been gathered your role is then to
weigh up the evidence and decide what course of action should be taken. You need
to be able to justify your decision to move forward. This includes being able to
demonstrate why you believed certain pieces of evidence over other pieces of
evidence.
Depending on the weight of evidence the decisions are usually, but not limited to;
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No case to answer
To proceed to a hearing
Some other action (such as re-training)
If the matter goes to a hearing, it is the decision of the Panel to issue any
sanctions/outcomes. As the investigating officer you will not be expected to give a
view on, or recommend any form of disciplinary sanction.
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Support during the investigation
Support is available for you from your School Improvement Liverpool SEAT
adviser
Investigations can be complex, complicated and lengthy. Your SEAT adviser will be
able to assist you.
Your SEAT adviser will have had experience of dealing with these matters and have
knowledge and understanding of the procedure being followed. They can provide
support in;
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Advising on the questions to be asked of witnesses
Accompanying you and taking notes at any interviews
Liaising with TU reps.
Assisting in writing the case report for hearings
Advising and assisting in putting ‘bundles’ together if the matter
goes to a hearing
Supporting you at any hearing.
Seeking specialist legal advice if necessary.
Attending Safeguarding Strategy meetings, if necessary.
Information gathering
Notes of all meetings/interviews/discussions should be made and kept safely
As the investigating officer you will be told a lot of information. It is important that you
keep a detailed record of what is disclosed to you. Copies of notes taken at any
interviews will be given to witnesses for them to check, sign and return to you. They
are management’s record of the interview so only small changes should be made by
the witness. If they wish to add further information this should be done under a
separate document. Occasionally witnesses will refuse to sign the notes. In this case
you can still rely on them and submit them to a hearing.
Also make a record of any telephone conversations you have with the individual
concerned and/or witnesses. Keep all relevant emails, written correspondence etc.
Make sure documents are dated and signed eg dates documents received.
All the information you gather will be used by you to clarify and cross check details
that have been given and assist you in coming to your decision on the next course of
action. When you have made your decision it may be helpful for you to write down
what evidence you used to make the decision and why, and the reasons why you
disregarded other evidence or gave it less credence.
The matter may ultimately move to an Employment Tribunal which may be held
months or even years later. Detailed notes will help you and school/Council in putting
in their responses. The employee is also likely to have detailed notes.
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Role of the Trade Union Rep
The role of the TU rep is to support their member.
Any employee who is the subject of a disciplinary investigation or who has raised a
grievance has the right to be supported by a trade union rep or colleague only. This
does not mean they can bring an external person eg family member or Solicitor. The
involvement of the TU rep or colleague extends to supporting them at;
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Suspension meetings (suspension must not be delayed due to the
unavailability of a trade union rep)
Investigation interviews
Hearings
Appeal hearings
Trade Unions reps are not allowed to answer questions on behalf of their members.
Witnesses
do
not
have
meetings/interviews/hearings.
a
right
to
be
accompanied
at
any
Interviewing Children
Under normal circumstances children are not formally interviewed.
There will be occasions when children raise a complaint, will be named as potential
witnesses or identified as having some relevant knowledge. For older children we
would usually ask that they provide a written statement concerning the incident,
usually supervised by an adult. If there are a number of older children being asked
what they recall of a situation they should be all asked to write their account at the
same time under ‘exam conditions’.
For younger children, or those with special needs, an adult may ask them to describe
what happened and write down what the child has said. Open questions should be
used and these should also be recorded. The adult should then sign the document
as a true record of the statement.
Parents should be informed that you will be asking their child about an incident.
Children should not be called to any hearings as witnesses.
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Timeframes
The procedures allow for timescales which should be followed.
The employee who is either subject to disciplinary investigation or has raised a
grievance will be invited to interviews usually in writing. There will be a number of
days’ notice that they should be given, usually 5 working days. This is to allow them
to arrange for a union representative or colleague to accompany them. Notice will
also apply to any hearings or appeal hearings.
Failure to give the appropriate notice, as given in the formal procedure, could have
further implications later on in the process.
Delays
Unfortunately, delays are inevitable!
Delays can occur for a number of reasons
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The employee goes off sick
The employee does not receive invitations to meetings with the
required notice periods.
The employee is unable to get union representation for the
scheduled interviews/hearings/appeal hearings.
Witnesses are on holiday or off sick.
Difficulty in co-ordinating diaries for meetings/hearings etc
School holidays
Employee raises a grievance (during a disciplinary investigation)
Additional allegations/issues are raised during the investigation
which then need a further investigation.
There will be times when the employee either won’t or can’t attend
meetings/hearings etc. If they are ill it is reasonable to allow time for them to get
better and the meeting/interview should be rearranged. If they are unable to get
trade union representation for the meeting/hearing the trade union rep should give
an alternative date within 5 working days of the original meeting/hearing. If this
continues then you will be able to hold the meeting/hearing in the employee’s
absence. They should be informed of this at an early stage and allowed to send in
representation by either their TU rep attending or sending written representations.
If there are any delays which are not of the employee making keep the employee
updated as far as possible, even if it is only to explain what the delay is and the likely
timeframe for this. Do not allow the employee to chase you for information.
Keep a record of any communication.
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If the employee raises a grievance during a disciplinary investigation, depending on
the nature of the grievance, the disciplinary process may be put on hold whilst the
grievance is investigated. However this is not always the case and each is dealt with
on its own merit. Your HR adviser will be able to advise.
Role of the Investigating Officer at a hearing
Your role is to present the evidence
If, following the investigation, you decide that the matter should be referred to a
hearing you will be required to present your case to the Panel. Before the hearing
you will gather all the relevant information eg witness statements, photographs,
computer print outs, signing in sheets etc plus draw up a cover report (statement of
case). These will form the bundle for the panel, the employee and their rep to read
before the hearing and be considered at the hearing. The statement of case should
relate to the evidence you gathered, provide a balanced account of the incident but
ultimately will explain why you feel the evidence supports the allegation or complaint.
At the hearing the employee or their rep on their behalf, will be able to ask you about
the evidence you gathered and your investigation.
Other points to remember
At any point all notes, files, documents etc may be disclosed (Subject Access
requests or Freedom of Information requests), or may be required for an
Employment Tribunal, therefore keep in mind the contents and tone of any emails
etc to all parties when dealing with these issues eg between you and your HR
adviser.
Keep a record of any delayed/cancelled meetings – who, why, rearrangements etc.
You may be asked to explain why the process took so long to complete.
Once you have been appointed as the Investigating Officer, speak to your HR
adviser who will work through the next steps with you.
Follow the appropriate procedure. Failure to do this could mean the case is lost on a
technicality.
For disciplinary investigations there is a checklist available for assistance. Appendix
1
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Disciplinary Investigation
Checklist
Name
School
Allegation(s)
Investigating Officer
Date
Actions
Reported by
Brief outline of incident(s)
Employee informed
Initial action eg suspension/action short of suspension/etc give
reasons
Reported to Careline - if appropriate
Strategy Meeting and outcome - if appropriate
Investigation details (including names of interviewees, letters sent,
reasons for any delays etc.)
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Outcome of investigation and any further action including reasons
for your decision.
Disciplinary hearing – if appropriate
Bundle prepared and sent to all parties
Outcome of hearing
Any recommendations
Appeal hearing
Is a referral to DBS or National College required?
Referral papers sent
Any other action to be taken
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