A disciplinary investigation is a fact-finding stage. The investigating manager gathers documents, interviews relevant people and decides whether there is a case to answer at a disciplinary hearing.
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Return to the Civil Service Disciplinary Process hub to find guidance for every stage of the process.
What happens in a disciplinary investigation?
The investigating manager should establish the facts rather than decide the final sanction. They may collect emails, system records, policies, meeting notes and witness accounts. You may be invited to an investigatory meeting and asked for your account of the allegation.
The investigation usually ends with a decision on whether the matter should proceed to a disciplinary hearing. Department policies differ on who can investigate, what should be disclosed at this stage and whether you may be accompanied.
Investigation meeting or disciplinary hearing?
| Investigation meeting | Disciplinary hearing |
|---|---|
| Gathers facts and tests what happened. | Considers the defined allegations and decides the outcome. |
| Usually led by an investigating manager. | Usually led by an independent decision maker. |
| May take place before the full evidence pack is complete. | Should follow written allegations and disclosure of the evidence relied on. |
| Usually results in an investigation report or case-to-answer decision. | May result in no action, a warning, another sanction or dismissal. |
| Accompaniment depends on the policy. | Formal accompaniment rights should be checked immediately. |
What should the investigation establish?
- The exact allegation and relevant date or period.
- The conduct standard, instruction or policy said to be involved.
- The documents and records that support or weaken the allegation.
- The account of the employee and relevant witnesses.
- The context, including any explanation, mitigation or health factor.
- Whether there is enough evidence for a formal hearing.
Your account may be used later
An investigation meeting is not an informal chat. Notes, admissions and explanations can appear in the investigation report and evidence pack. Prepare even where the invitation describes the meeting as fact-finding.
Unlock the investigation preparation pack
Members can continue for a detailed preparation method, evidence request checklist, meeting plan, point-by-point response structure and model wording for correcting an incomplete or one-sided investigation.
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