Disciplinary investigation report

Our disciplinary investigation report will help an investigating officer summarise the investigation that was carried out, including the evidence gathered, what it shows (and doesn’t show) and their recommendations for the next step.

Investigation summary

A fair disciplinary procedure doesn’t absolutely require that a written investigation report is produced but many investigations will benefit if the findings are recorded in writing, so the investigating officer should fill in the Disciplinary Investigation Report form once they’ve completed their investigation. It doesn’t, of course, replace the documentary evidence and witness statements that have been collated – what it does is summarise, in one document, the course of the investigation from start to finish.

Report contents

Our report includes:

• the names of the investigating officer and who initially authorised the investigation
• the dates that the investigation started and finished
• what the background and terms of reference were
• what evidence and witness statements have been collected
• what evidence and witness statements couldn’t be collected (and why)
• what the evidence contains and how it does or doesn’t support the findings
• what facts have been established and whether any part was inconclusive
• any mitigating factors uncovered
• investigating officer’s recommendations.

It’s important that the report covers all the facts that both were and were not established. To exclude any information may leave an investigation open to accusations of bias and filtering evidence to suit the findings.

Recommendations

The investigating officer can recommend whether disciplinary action should be pursued but they shouldn’t recommend a particular sanction, e.g. written warning or final written warning. That’s a matter for the decision maker (chair) after the disciplinary hearing itself has taken place and it’s not for the investigating officer to try and prejudge this or to influence the outcome of the hearing. Likewise, it should be the decision maker and not the investigating officer who makes the final decision as to whether or not a disciplinary hearing will be held. Finally, the report should reflect the investigating officer’s own conclusions and recommendations. While they may seek advice from a third party such as an HR department as to the law and fair procedure, the conclusions and recommendations in the report should be entirely their own and it should not include, or have been improperly influenced by, anyone else’s views or opinions.

Post-investigation

Once an investigating officer has completed their investigation and handed in their report and evidence, they will not usually be involved in any further action, other than possibly discussing the report in person if there’s anything that needs clarifying and/or attending the disciplinary hearing (in a fact-giving capacity only).