MANAGEMENT STATEMENT OF CASE

IN LINE WITH THE DISCIPLINARY POLICY

INVESTIGATION DETAILS

FOR DISCIPLINARY PANEL MEETING

EMPLOYEE:
PANEL MEMBERS:
MANAGEMENT:
WITNESSES:
(If relevant)
DATE/TIME OF PANEL:
VENUE:
REPORT CREATED BY:
DATE CREATED:

Name Abbreviation List

(use if case has involved a large number of people and you think it would be beneficial for the panel to have a quick overview of each employee’s initials, to help them when reading the MSOC e.g. LJ – Lyn Jones – Head of HR Operations)

Abbreviation	Name	Job Title

CONTENTS

Section	Page No.
MSOC Name Abbreviation List
Introduction
Investigation
Conclusion
Timeline
Summary and recommendations
Appendices – see table detailed below

1.	Introduction

Name:
Job title:
Start Date in NHSBT:
Start date in current post:
Directorate:
Department:
Location:
Hours of work:
Band:
Assignment Number:
Details of live informal or formal actions in line with Disciplinary Policy:

Summary of allegation/s

[Provide a summary of the case:

The allegation – this must be specific to the incident but may have changed during the investigation. This does NOT need to be linked to a section in the code of conduct

Date, time and location the incident was alleged to have taken place]

2.	Investigation

[Provide a summary of the investigation:

Details of the investigation including verbal statements, documented statements, and outcome from formal investigation meetings with employee and any witnesses.

Include the dates of with any details of investigation activity

Include details of attendee’s

Include details of allegations found, not found etc based on evidence

Include details of mitigation provided from the individual

Include concerns raised by individual and management response to these (if not highlighted – outlined no concerns raised by individual regarding the investigation panel or process followed)

If the investigation or case is an escalation of a previous ‘improvement note’ or other sanction, include details of the pattern of behaviour]

3.	Conclusion

[Provide a summary of your case:

include the process followed to date

any support offered if appropriate

confirmation that policy was followed

Confirm what has been found from the investigation

4. Timeline

[Provide a timeline

of all the activity that has taken place - this will act as a good summary and reference point for the panel

Detail activity from point allegations were raised, investigation panel appointed, details of investigation, concerns raised by individual, to the date of the hearing – include details of senior manager / commissioning manager recommendations etc

Example of timeline table below:

Date	Activity/Comments	Appendix Number

5.	Summary and Recommendations

[Provide summary of:

the investigation process

the recommendations of the commissioning manager if appropriate and timeliness

the steps leading to the panel meeting

6.	Appendices

[Include where relevant, any appendices:

invite to panel letter

Job description (if relevant)

Person specification (if relevant)

Details of any informal discussions and actions if escalated

Notes from investigation meetings

Any other correspondence relevant to the case from either party

Any additional support offered

Witness statements

The relevant pages only to any Policy/MDP/SOP]

[NB: The Disciplinary Policy will not be required; however the panel should bring a copy with them. The employee would have been provided with this in DIS3. Please keep the pack to a minimum and ensure any appendices are relevant to the case.]

Appendix No:	Type of Document	Date of Document