Prison officer investigation: what to expect and your rights

In shortAn investigation gathers facts so a manager can decide whether there is a case to answer; it is not a hearing, a finding or a punishment.

The investigating officer collects documents, interviews witnesses and the person under investigation, and writes a report. In the 2013 text the report is facts only: it compiles the interview notes and any disagreements, and the commissioning manager then decides whether disciplinary action follows.

The investigator does not decide the outcome, and in good practice (and under the Acas Code where feasible) a different person hears the case. Read this guide alongside the pillar on prison officer misconduct and the guide to the disciplinary process.

In shortA Band 5 or above investigator who is not a likely witness, working to a 28 working day target that can be extended only in writing.

• Target28 working daysExtendable with documented written justification
• Moorland case4 extensionsSuspension 18 July 2024 to report 4 December 2024

Under the 2013 text, the investigating officer is normally the line manager unless they are involved or not of a higher grade.

They should be at least a Band 5 Custodial Manager or Hub Manager (or Probation Officer or Executive Officer equivalent), and must not be a likely witness at the hearing. For operational staff, the lead investigator must be from an operational grade.

The Rademaker Review notes that the current policy requires operational staff to be investigated by operational staff at least one grade more senior. Whether these grade rules remain in the current policy is unverified.

The target can be extended only with documented justification agreed in writing by the commissioning manager and communicated to you in writing. In the HMP Moorland case, terms of reference were extended four times between suspension on 18 July 2024 and a report dated 4 December 2024.

In shortAt least 48 hours' written notice, the right to be accompanied and a typed note you should check and correct in writing.

You should receive at least 48 hours' notice in writing. If the notice is short, ask for more time. In the Moorland case, an interview was rearranged because the union rep was unavailable, so rearrangements for that reason are not unusual.

1. At the interview, the record need not be verbatim or tape-recorded, but you should be given a typed note and your comments go into the report.
2. Read the note carefully when you receive it. If something is wrong or missing, say so in writing, promptly, and ask that your comments be attached.
3. Your companion can support and take notes, but you are the one giving the account. Prepare a simple timeline beforehand, with dates, times and any documents you would like to refer to, and agree with your rep how you will handle questions you cannot answer.

In shortYou must co-operate reasonably, but you cannot be forced to answer and need not answer self-incriminating questions.

The policy balances duties and protections. You cannot be forced to answer, but the 2013 text says that investigators must remind you that if you refuse to answer after proper warnings, reasonable conclusions may be drawn.

If an answer may incriminate you, you do not have to answer that specific question. That matters when there is a criminal dimension, and it is a reason to take advice before an interview.

In shortCorruption, use of force and prisoner complaints follow their own routes, and the police may take priority.

In shortAn investigation must not be delayed automatically because you are on sick leave, but you can ask for reasonable adjustments.

In the Moorland case, Occupational Health advice was used to plan how the officer could take part in the hearing, with agreed support.

If you are signed off, keep your GP note up to date and tell HR whether you are well enough to engage, and in what form. If you are not, ask for a medical opinion on when you could.

In shortThe commissioning manager decides what follows; ask to see the report and attachments before any hearing.

Options in practice include no further action, informal action or a disciplinary hearing, and the chapter setting out the detail is not public. The Acas Code says copies of written evidence and witness statements should be provided where applicable.

1. Ask to see the report and attachments before any hearing.
2. Read it with your rep and mark factual errors.
3. Gather any material that supports your account: rosters, logs, messages and names of witnesses who could help.

In shortKeep an organised record, look after your health and contact your POA branch early.

Keep an organised record. A simple folder and a dated log of letters, calls, meetings and extensions is invaluable. Note the date you received each document and who sent it. Keep your own contemporaneous recollection separate and private.