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;

·  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.

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;

·  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.

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;

·  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 a right to be accompanied at any meetings/interviews/hearings.

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.

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

·  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.

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

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.)
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

SEAT May 2015 Page 6