People & Organisational Development

Initiating and Conducting Investigations - Formal Procedure

When informal action fails or the alleged misconduct is serious enough to potentially warrant disciplinary action, a formal investigation should be initiated under the Disciplinary Procedure to establish facts and determine if there is a case to answer.

Why This Matters

A fair, consistent, and lawful investigation process protects both the individual and the University, maintaining confidence in how disciplinary matters are handled. Conducting investigations robustly and transparently helps prevent unfair outcomes, procedural issues, and reputational harm, while clear communication throughout reduces stress and supports trust among all parties involved.

Key Actions for Managers

Appointing an Investigating Manager

• The Commissioning Manager (see roles and responsibilities) appoints an Investigating Manager promptly when informal action fails or misconduct appears serious.
• The investigation should begin without unreasonable delay in line with the Disciplinary Procedure and following the Guidance for Investigating Managers.

Setting the Scope

• The Commissioning Manager will clearly define the allegations and identify relevant policies or frameworks that may have been breached.
• The scope can be amended if new evidence emerges during the process.

Conducting the Investigation

• The purpose is to gather evidence, establish facts and determine if there’s a disciplinary case to answer.
• Investigations must be:
• Fair, thorough, and timely
• Fact-based, with all parties given a chance to respond
• Conducted with sensitivity, recognising the impact on those involved
• Investigating Managers are supported by P&OD colleagues from the Case Management Hub.

Using Previous Investigations

• Where misconduct allegations arise from Grievance, Research Misconduct, Complaints, or financial irregularity investigations, the Commissioning Manager will:
• Review what’s already been investigated.
• Decide if the existing evidence can be used or if further investigation is required.
• Ensure the individual(s) involved have had a fair opportunity to respond before proceeding.

Communication and Updates

It will typically be the role of the Investigating Manager to:

• Keep the colleague informed of progress and developments throughout any investigation.
• In sensitive cases (e.g. harassment, bullying, discrimination), share updates or relevant details to help manage expectations — seeking guidance from P&OD Case Management as needed.

Reporting and Next Steps

• The Investigating Manager submits a full investigation report and recommendations to the Commissioning Manager.
• The Commissioning Manager then decides:
• Whether the case should proceed to a disciplinary hearing, or
• Whether there is no case to answer.
• If no formal action is needed, the Commissioning Manager will communicate this promptly and consider alternative actions or support where appropriate (e.g. development plans or coaching).
• If a case is to proceed to a disciplinary hearing, this will also be communicated, ng the allegations to be considered and any other key information (such as potential sanctions).

Supporting Success

Some key principles to ensure robust, fair and quality processes, across the different roles involved, include:

• Approaching investigations with neutrality, diligence, and empathy.
• Keeping accurate, confidential records throughout.
• Using available guidance and P&OD support to ensure compliance and consistency.
• Communicating clearly and compassionately, especially in sensitive cases.
• Focusing on ensuring a fair process and informed decision-making rather than pre-judging outcomes.