Investigation Policy - June 2026

1. Introduction

Carmarthenshire County Council undertakes internal investigations in response to a range of incidents and events. This policy lays down the procedure to be followed when an internal investigation requires witness statements from staff as part of an investigation or from those who are or may become the subject of the investigation.

This policy is to ensure that all investigations are carried out promptly, in a fair manner to the individuals concerned, allowing individuals to respond to the allegations made against them. It also respects their rights to confidentiality and explains the role of the companion at the informal investigation stage.

2. Scope

This procedure covers all employees including centrally employed school staff but excluding staff on the complement of locally managed schools. In the absence of a policy agreed locally by individual schools the principles of this policy should be followed.

This policy is intended to cover all internal investigations however they arise, e.g. disciplinary, capability and grievance; whistleblowing disclosures; allegations of fraud; harassment or bullying; investigations as a result of an incident/accident reported on an Accident and Incident Form; investigations arising from Road Traffic Accidents involving council vehicles.

This policy is to ensure that if it subsequently becomes necessary for formal procedures to be invoked against an employee either internally or externally, the statements taken as part of the investigation may be used in this process. This is intended to avoid the need for employees to be interviewed more than is necessary and to ensure matters which may later be the subject to formal procedures, is documented as soon as possible after the event.

3. Procedure

Purpose of the investigation

The objective of an investigation is to obtain all relevant information to establish the facts of the case. This will include interviewing the employee(s) being investigated and all relevant witnesses, taking statements or notes of meetings, obtaining documentary evidence, e.g. employment records, and contacting outside agencies, bodies and individuals as appropriate.

4. Appointing an Investigating Officer

An investigation officer will normally be appointed by the Director or nominated Head of Service in accordance with the relevant policy* (see below). Who should be the investigator will often depend on the seriousness and/or complexity of the matter.

In most cases, where the matter to be investigated appears to be clear and the facts are not in dispute, the role of the investigator may be carried out by an appropriate line manager.

If the evidence to be investigated is more serious or complex (such as potential gross misconduct, discrimination or bullying) then the person appointed should be someone more senior or experienced where possible.

In exceptional circumstances, it may be appropriate to appoint someone who is detached from the matter. This could be a manager from another department or an external investigator. However, this needs to be carefully considered, and any decision should balance the needs for fairness against a cost effective and efficient investigation.

Questions to consider when choosing an investigator:

Are they personally involved in the matter being investigated?
Would the appointment raise any conflict-of-interest concerns?
Are they likely to be influenced by people involved in the matter?
Might they be involved in any subsequent decision making on the matter?
What is their availability during the investigation’s provisional timeframe?
Are they trained and/or experienced in how to conduct investigations?
How confident are they at communicating in writing and/or orally?
What training or support may they require?

What is most important is that whoever is chosen to be the investigator acts fairly and objectively.

* Any case of suspected fraud or corruption by any officer or member of the Council must be reported immediately to the Head of Revenues and Financial Compliance. Where cases are logged on the Whistleblowing Database, the Monitoring Officer will be responsible for formally referring the case to the Head of Revenues and Financial Compliance. No internal investigation should be attempted by any Department. The Head of Revenues and Financial Compliance will arrange for the necessary investigation to be carried out. Where, as a consequence of the investigation, there appears to be reasonable grounds to indicate that an officer has been guilty of fraud or corruption, the Head of Revenues and Financial Compliance will discuss the matter with the Director of Corporate Services who will be responsible for deciding whether the matter should be formally referred to the Police.

Where cash or items are stolen, all such incidents, regardless of value, should be referred to Internal Audit prior to reporting to the Police. If it is suspected that a member of staff may have been involved in the theft advice must also be sought from an HR Advisor.

5. People Services - HR Business Partner (HRBP)

Once an investigating officer has been appointed an HRBP will be allocated to advise and support the investigation officer by the Assistant Chief Executive (People, Digital and Policy) or a nominated representative, who will liaise with Internal Audit as required.

6. Employee Responsibilities

In line with the general requirements outlined within the statement of main terms and conditions an employee ‘may reasonably be required’ to provide factual statements and comply fully with the internal investigation process and any subsequent procedures as outlined below:

“…You will be held responsible for ensuring that the accountabilities of your post (Job Profile available on request) are fulfilled and your performance in doing so may be assessed from time to time. You will carry out such work and duties as are usual or necessary in connection with your appointment or such work as may reasonably be required. You are required to invoke the Council’s/School’s established processes and procedures to challenge and report dangerous, abusive, discriminatory or exploitive behaviour and practice. You will be responsible for your own actions, behaviour and any subsequent consequences. All employees are expected to recognise the limits of their competence and be responsible for limiting their actions to those which they feel competent to undertake. You will have due regard for economy and use of resources whilst maintaining standards at all time.”

The investigation officer will be responsible for ensuring that the employee under investigation has every opportunity to respond, considering the nature and severity of the allegations. If the employee fails to respond the investigation officer will proceed based on the information available. Failure to co-operate with an investigation without a valid reason may lead to disciplinary action.

7. Sickness Absence During an Investigation

Absence from work through sickness does not necessarily mean that an employee is unfit to give a statement. It may be necessary to seek the advice from an Occupational Health Advisor (OHA) or Occupational Health Physician (OHP) to assess the employee’s fitness prior to being interviewed. The employee will be asked to consent to the release of information by the OHA/OHP after the referral. In cases where an employee is considered unfit by the Council’s OHA/OHP to be interviewed or to make a statement, they will be entitled to nominate a recognised trade union representative or a work colleague to speak on their behalf or to submit a written statement. If the employee fails to attend the occupational health appointment or declines to give consent to the release of information, a decision will be made to proceed on the information available.

8. Notification of an Investigation

Any employee who is to be interviewed as the subject of an investigation should to be given details of the reasons for the investigation at the outset. The employee concerned must be informed in writing that an investigation is to be carried out and the subject of the allegations(s). This should be done within three working days of the decision to investigate and a copy of the investigation policy enclosed. If during the investigation further allegations come to light which form part of the investigation, then the employee must be made aware of this in writing as soon as this becomes apparent.

In cases where it is not immediately apparent whether actions are likely, an employee who is later identified as possibly facing action must be advised in writing as soon as it becomes apparent.

9. Representation

Whether an employee has the right to be accompanied at an investigation meeting will depend on the circumstances:

Disciplinary investigations – There is no statutory right for an employee to be accompanied at a disciplinary investigation meeting (for example, a meeting held to gather facts). The right only applies to a disciplinary hearing which could result in a formal warning or some other action being taken or confirmed against a worker. The Authority’s Disciplinary Policy does however allow for an employee who is the subject of an investigation to be accompanied by a suitable companion (independent of the investigation) at the investigation stage. A companion can be a trade union representative or a work colleague. The employee will be given an appointment with reasonable time to arrange such support. (Please refer to the Role of the Companion in Disciplinary and Grievance Process).

In situations where it appears to the investigating officer that there is an unreasonable delay of more than seven calendar days in seeking a companion, the investigating officer can insist on an interview and offer an independent person as an observer.

Grievance investigations - An employee who raises a grievance in line with the Authority’s Grievance Policy has a statutory right to be accompanied at any meeting held to hear, gather facts about, discuss, consider or resolve their grievance. This includes investigation meetings.

However, any other employee interviewed as part of the investigation into a grievance, (for example, to check facts or gather new evidence) does not have a statutory right to be accompanied at the investigation meeting.

10. Recording an Investigation Meeting

An interviewee who makes a statement as part of an investigation will be required to sign the statement as a true record of that interview, having the opportunity to amend it with the agreement of the investigation officer and to add further information. Ideally this should be undertaken at the end of the investigatory meeting. It may also be sent out to the interviewee following the meeting for agreement. An interviewee should be allowed to amend their statement but should sign any amendments they make to the original document. Where changes are made to a statement that the investigator believes contradict what was said at the meeting, it may be necessary to note this and include both the original statement and the amended statement in the report.

If an interviewee refuses to sign their statement, an investigator should try to find out why and resolve the issue. If a resolution cannot be reached, an investigator should include the statement in their report while acknowledging that the interviewee refused to confirm that it was an accurate reflection of the meeting.

The Authority does not record disciplinary meetings/hearings using an audio device. At the same time, the Authority, does not normally permit the recording of disciplinary meetings/hearings by an employee (or their representative/support), given the sensitive and personal data which may be discussed. A covert recording of an investigation meeting may be viewed as a misconduct matter or as a breach of trust and confidence.

An investigator may sometimes decide that a witness statement can be obtained in writing without holding a meeting in circumstances such as: If the witness is not a employee when the facts required from a witness are very simple where a witness is ill and unable to attend an investigation meeting.

An investigator should provide a reasonable deadline for completion and ask the witness to answer specific questions or to include in their statement:

Their name, and where applicable, job title.
The date, place and time of any relevant issues.
What they saw, heard, know.
The reason why they were able to see, hear or know about the issues.
The date and time of the statement.
Their signature.

A witness statement supplied in writing will be of limited use where there are doubts about the witness account or the witness needs to be probed for further details.

11. Timescale

It is not possible to be prescriptive about the time taken to undertake an internal investigation. However, investigations should aim to be completed within 28 calendar days wherever possible, but this is dependent on the complexity of the case. If this is not possible the investigating officer will inform all parties of the delays, the reason for the delay and the likely date of completion of the investigation.

In the event that contradictions come to light during the investigation the investigating officer should ensure these are clearly identified and attempts made to determine why these have arisen and resolved where possible. The investigating officer will in these circumstances re-interview employees at the investigation stage rather than the contradictions coming to light during a hearing.

On completion of the investigation, the Investigating Officer will provide the investigating report with recommendations to the Commissioning Manager.

It is the Commissioning Manager’s responsibility to consider the investigation report and recommendations and determine if any further action is required. The Commissioning Manager is responsible for communicating the recommendations to the employee within seven calendar days of completion of the investigation and where appropriate makes arrangements for convening a disciplinary hearin

12. Support for Employees

An investigation can be challenging for everyone involved. Sometimes it can lead to significant distress and negatively impact the mental health of an employee.

Where concerns about the mental health of an employee are raised, an investigator should treat the issue seriously and consider whether the process can be adjusted in some way. For example, by allowing the employee to be accompanied at any investigation meetings by a support worker, a friend or family member who is aware of their mental health issues.

All employees who are taking part in an investigation, either as the subject, or as a witness, may seek wellbeing support from the Authority’s Wellbeing Support Service.

13. Confidentiality

Confidentiality during an investigation is of the utmost importance to maintain the integrity of the evidence and the respect of the individual being investigated. It is essential that the investigating officer does not disclose more information than is necessary to assist the investigation process with any individual.

It is also necessary to impress upon any witnesses the need to maintain confidentiality, and it is a disciplinary offence to breach that confidentiality.

The investigating officer is not to discuss the case with anyone other than those involved in the case. Employees must also be informed of the confidentiality in all cases.

14. Ensuring Equality of Treatment

All employees are required to adopt a positive, open and fair approach and ensure the Authority’s Equality and Diversity Policy is adhered to and applied consistently to all irrespective of race, colour, nationality, ethnic or national origins, disability, religion and belief or non-belief, age, sex, gender reassignment, gender identity and gender expression, sexual orientation, pregnancy or maternity, marital or civil partnership status.

In addition, the Welsh Language Standards ask us to ‘ensure that the Welsh language is treated no less favourably than the English language’ and this principle should be adopted in the application of this Guidance.

If you have any equality and diversity concerns in relation to the application of this policy and procedure, please contact a member of the HR Team who will, if necessary, ensure the policy/procedure is reviewed accordingly.