Investigation procedureDocument Type ProcedureScope (applies to) All staff and students Applicability date December 2020Expiry date December 2022Approved date December 2020Approver Deputy Director of HRDocument Owner HR OfficerSchool / Unit Human ResourcesDocument status DraftInformation classification

Public

Equality Impact Assessment TBC

Keywords Investigation

Version Number

Purpose / Changes

Document status

Author, role and School / Unit

Date

1.0 New document

In draft Lisa StewartHR

23/11/2020

British Sign Language (BSL) users can contact the University via the online BSL Video Relay Interpreting Service: https://contactscotland-bsl.org.

Content Page no

1. Statement 32. Purpose 33. Scope 34. Procedures 45. Conclusion 96. Support and advice 107. Version control 11

Appendix A: Investigation procedure flowchart 12Appendix B: List of internal support 13

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1. Statement

1.1 Where a concern, complaint, allegation or grievance is raised, the University may find that an investigation under this procedure is required. This procedure aims to ensure that investigations are carried out promptly and in a fair and reasonable manner. It is intended to cover all investigations including, but not limited to matters relating to disciplinary, grievance, dignity and respect at work, gender-based violence and capability.

1.2 There are several ways to formally report unwanted and unacceptable conduct and behaviour to the University. The University recommends using Report & Support where reports can be submitted with contact details (identifiable) or anonymously (unidentifiable). Alternatively, employees can raise the matter to their line manager, Human Resources (HR) and/or by following the procedures in the appropriate policy e.g. Grievance, Dignity & Respect at Work, Gender-based violence etc.

1.3 All forms, policies and guidance referred to in this procedure can be accessed on the HR Policy webpage.

2. Purpose

2.1 The purpose of an investigation is to establish the facts of the matter, consider evidence that supports and challenges the allegation(s), decide if there is a case to answer and recommend actions. In grievance cases, where investigation is required, the grievance manager is the investigator and the decision-maker. See the Grievance policy for further details on the process.

2.2 The University reserves the right to conduct a general investigation if a case does not naturally align to a specific policy on the outset and/or revert to a different policy after an investigation should there be evidence to support this and it is deemed appropriate to do so. This will only be undertaken on the advice and guidance of HR.

3. Scope

3.1 University employees

3.1.1 This procedure applies to all University employees and members of the University community who have:

Raised a concern/complaint or; Been called to participate in an investigation i.e. the reported perpetrator, as a witness

or similar.

3.1.2 All members of the University community are required to participate and cooperate with any investigation matter that they may be involved in or witness. This is a reasonable expectation of anyone who may have information that could assist an investigation. Any individual who unreasonably refuses to follow a request to participate in an investigation without a legitimate reason in doing so may be subject to disciplinary action being taken against them.

3.2 Employee complaint involving a student

3.2.1 If an employee raises a complaint regarding a student, the investigation process will usually be conducted by the University Student Conduct Officer. The employee should report the matter using Report & Support or, if preferred, contact the Student Conduct Officer directly (discipline@st-andrews.ac.uk).

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3.3 Employee complaint involving an external party

3.3.1 If a complaint relates to an external party supplied by an external agency, supplier, auditor or any third-party company e.g. an attendee at an internal/external event, the University will transfer the matter to the agency/company to manage on behalf of the University. The employee should report the matter using Report & Support or, if preferred, contact their line manager or HR directly.

3.3.2 It will be the responsibility of HR to notify the external agency/company of the complaint and ensure appropriate support is provided to the employee who has disclosed the matter. It will be the responsibility of that agency/company to investigate and conclude matters as appropriate in line with their existing policies. Depending on the outcome, the University reserves the right not to engage the services of that individual or company again.

3.3.3 Any external party who has a complaint regarding a member of the University community should raise the matter via the University’s Complaints Handling Procedure (CHP).

3.4 Students complaint regarding an employee

3.4.1 Any student complaint regarding an employee will be passed to HR to investigate accordingly under this procedure. Any complaint investigated that amounts to misconduct may lead to action taken under the Disciplinary policy. Students should report the matter using Report & Support or, if preferred, contact Student Services directly: support.advice@st-andrews.ac.uk

4. Procedures

4.1 Instigating an investigation

4.1.1 Where informal resolution is not practical or possible and it is likely that an investigation will be required, the matter should be brought to the attention of the HR Business Partner (HRBP) for the School/Unit for advice and guidance. This will be of particular importance if:

There is a suspected/claimed breach of a policy, University regulation or procedure; The matter is of a sensitive nature and is unlikely to be resolved informally; This is not the first time that this issue (or similar) has occurred; The matter is of a serious nature.

4.1.2 HR will appoint an Investigation Manager to conduct the investigation as soon as possible and will normally attend investigation meetings to provide procedural support and advice to all parties and guidance to the Investigation Manager as required.

4.1.3 HR will complete a Terms of Reference and submit this to the Investigation Manager prior to commencing the investigation. The Terms of Reference defines the purpose and scope of the investigation, provides a summary of the matter and outlines the key individuals to be involved in the investigation. A word version of this document can be accessed on the HR Policy Page.

4.1.4 Additional guidance has been developed to support Investigation Managers with conducting investigations which can be accessed on the HR Policy Page.

4.1.5 An Investigation Manager shall carry out as much investigation as is reasonable in the circumstances of the case and should be proportionate to the matter under investigation. Investigation managers should complete an Investigation Plan prior to commencing with an investigation. A word version of this document can be accessed on the HR Policy Page.

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4.2 Appointing an Investigation Manager

4.2.1 This individual should:

Be at least the same level as the employee being investigated; Be impartial, objective and have had no prior involvement in the case; Be available during the period of investigation to ensure no undue delays; Not be involved in any subsequent decision making on the matter. (The exception to

this is regarding grievances, where the investigation manager is also the decision-maker).

4.2.2 If there are any concerns or possible conflict of interest regarding the Investigation Manager, this should be raised by the employee with the Investigation Manager or HR representative on the outset of the investigation.

4.3 Investigations that may warrant a criminal investigation

4.3.1 Some matters under investigation may warrant a criminal investigation. In these cases, the Investigation Manager should escalate the matter to the Director of HR (or appropriate delegate) and a decision will be made on whether to postpone the investigation pending the criminal proceedings or to continue. If it is deemed reasonable to do so, the University may still carry out their own investigation if this does not impact on any criminal investigation or prejudice the criminal proceedings.

4.4 Suspension

4.4.1 Suspension with pay may be considered at any point throughout an investigation. In most cases, a decision to suspend will usually be prior to the start of an investigation and be decided by the Head of School/Unit in consultation with an HR representative although in some cases, the decision to suspend may be the Investigation Manager or another person involved in the case. Further details on suspension can be read in the Disciplinary Policy.

4.5 Notifying impacted individuals of an investigation

4.5.1 An employee subject to an investigation will normally be made aware in advance and given a brief summary of the allegation(s), or, in the case of a grievance, a copy of the employee’s grievance submission and associated documents (where applicable). An investigation should only be concealed initially if there is a valid reason in doing so such as; an employee may be able to influence witnesses or tamper with evidence.

4.5.2 If many people are witness to the same incident, the Investigation Manager is not required to interview all individuals and may choose to meet with only a few. The Investigation Manager is required to do what is reasonable and proportionate to gather the necessary information.

4.5.3 Reasonable notice should be granted to individuals expected to take part in an investigation. The University will normally give at least two working days’ notice of an investigation meeting taking place however these timings can vary dependent on circumstances or urgency of the matter. In exceptional circumstances, a meeting could be requested to take place on the same day that it is requested, if diaries allow.

4.5.4 Employees who are the subject of an investigation can be accompanied at investigation meetings by a work colleague or trade union representative.

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4.5.5 If an employee fails to attend an investigation meeting and provides no legitimate reason for non-attendance, it could be viewed as a refusal to obey a reasonable request and may result in disciplinary action.

4.6 Conducting the investigation

4.6.1 Investigation meeting

4.6.1.1 This is an opportunity for the Investigation Manager to meet with an individual who is involved in or has information on a matter under investigation. The Investigation Manager may choose to re-interview individuals in order to clarify areas of contradictory information if appropriate or if new facts come to light during the investigation which warrant further discussions to take place. An Investigation meeting structure template can be accessed on the HR Policy Page to support Investigation Managers in structuring these discussions.

4.6.1.2 Notes will be taken, normally by HR or other assisting person and will summarise the main points. In the event there is a dispute on approval of the notes, and it is not possible to come to an agreed version, both versions will be attached as appendices in the conclusion/investigation report. A recommended meeting note template has been developed and can be accessed on the HR Policy Page.

4.6.1.3 The University does not permit the recordings of meetings or telephone calls by electronic means, unless prior agreement e.g. to provide for a reasonable adjustment has been reached. Any recording of a meeting with University employees that is made without prior knowledge and agreement may be deemed a form of misconduct which could result in the University taking disciplinary action against the individual(s). Further information on the recording of meetings can be found in the Guidelines on Recording of Meetings involving University Staff and Students .

4.6.2 Witness statements

4.6.2.1 It may be appropriate in some circumstances that a witness statement is provided without the requirement for an investigation meeting. Whilst this is not normally the recommended approach, it may be the appropriate method to gather data in certain situations such as, if a witness is not a worker of the University, when the facts required from a witness are limited and straightforward, where a note of what happened is needed immediately before memory fades, or where a witness is unable to attend an investigation meeting for instance due to illness or on research leave. The Investigation Manager should provide a reasonable deadline for completion and ask the witness to answer specific questions to ensure the statement includes a detailed description of the matter under investigation.

4.6.3 Written records and documentation

4.6.3.1 The Investigation Manager should collect any documentation that may be useful to establish the facts of the matter such as meeting notes, email correspondence and any previous warnings related to the allegations under investigation. The Investigation Manager should speak with HR about sourcing access to relevant data.

4.6.4 Other evidence

4.6.4.1 The Investigation Manager should consider if there may be other forms of evidence such as CCTV footage, computer files, log files noting how ICT facilities and/or access control services and phone records relevant to the investigation. Such records should only be sought and used where it is necessary to do so, and no less intrusive methods of investigation are available. The Investigation Manager must consult with the Head of

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Information Assurance and Governance who will advise whether a request is consistent with the University’s obligations to uphold Data Protection laws.

4.6.5 New issues come to light during an investigation

4.6.5.1 If a new matter comes to light during an investigation, the Investigation Manager will incorporate the new allegations into the existing investigation and update the allegation and terms of reference, unless it would make the investigation overly burdensome or unduly complicated. The Director of HR (or appropriate delegate) will advise in these circumstances.

4.6.6 Anonymous witness statements

4.6.6.1 There may be circumstances where a witness wishes to remain anonymous or refuses to be involved in an investigation for fear of reprisal. Anonymity cannot be guaranteed and will not normally be a consideration. In exceptional circumstances where it is considered that there is a real or pertinent fear/threat of danger, and the witness has legitimate grounds for that belief, it may be requested for consideration. Where anonymity is requested, the witness should be made aware that the Investigation Manager will attempt to keep witness statements and interview notes anonymous as far as possible. Should the matter result in legal proceedings, anonymity is unlikely to be sustained. Any anonymous documents must contain enough detailed information to allow the Investigation Manager to obtain independent corroboration of the facts. Investigation managers should always seek the advice of HR if anonymity is requested.

4.6.7 Confidentiality

4.6.7.1 The University aims to keep information confidential to the maximum extent possible. Confidentiality will be maintained as far as reasonably possible and information will only be shared with others on a need to know basis. There will however be information that is required to be shared. For instance:

Where applicable, the complainant’s identity and the nature of the allegations must be revealed to the person causing the offence so they can appropriately respond to the allegations;

Some details may have to be provided to potential witnesses (if applicable). However, the importance of confidentiality will be emphasised to all individuals involved in the investigation and, if breached, may result in disciplinary action;

Line managers may need to be provided with information if, for instance, employees are recommended to move departments/roles as part of the outcome into the grievance, or recommended outcomes are proposed that the line manager must implement.

4.6.7.2 All employees have a duty to maintain a safe and equitable workplace. As such, any report that raises a concern for the safely of any member of the University community or others may require Police or external authority intervention. The University will not usually report the matter to the Police or other external authorities without employee consent; however, in exceptional circumstances, the University may exercise their right to pass information on.

4.6.7.3 If the decision is taken to share information with the Police, the Director of HR (or appropriate delegate) must document their decision to share this information and the reasons for this and inform the person who disclosed the matter of the reason why confidentiality cannot be contained and the steps that will be taken upon reporting to the Policy (or other external authority).

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5. Conclusion

5.1 The Investigation Manager must confirm, in writing, the outcome of the investigation. In grievances cases, a letter will usually be written to confirm the outcome of the grievance investigation. In all other cases, it is usual practice for the Investigation Manager to summarise their findings and recommend an outcome in the form of an Investigation Report. A word version of a template report can be accessed on the HR Policy Page.

5.2 While an Investigation Manager may seek advice from HR, the conclusion will be their own. The Investigation Manager must ensure that the report is objective and concise, and the recommended action is based on the evidence collated. The report/conclusion should cover:

Material facts that were/were not established; Mitigating circumstances that require consideration; Relevant written and physical evidence gathered; Action to take forward upon conclusion of the report.

5.3 With the exception of grievances (as the grievance manager is also the decision-maker), the Investigation Manager can make a recommendation taking into consideration the information they have established during the investigation. There are three common outcomes that the Investigation Manager must consider, namely; formal action e.g. the Investigation Manager recommends the matter progresses to a formal hearing (discipline), informal action or no further action.

5.4 During an investigation, the Investigation Manager may identify other issues that, while outside the scope of the investigation, may still require action. The Investigation Manager should document these for review and consideration in the “Executive summary and recommended actions” section of the report.

5.5 Communicating the outcome

5.5.1 Where the investigation results in the decision to proceed to a formal hearing i.e. disciplinary, the employee subject to the formal hearing will be provided with the evidence gathered as part of the investigation prior to the formal hearing. This will not usually include the investigation report. The person who raised the complaint will be informed that formal action has been recommended however the outcome of the formal process will not be shared with the complainant, the investigation manager, or any other party involved in the investigation (e.g. witnesses) in order to protect confidentiality.

5.5.2 Where the investigation results in the decision not to proceed to a formal hearing, the person who raised the complaint will receive notification of this in writing with rationale for the outcome. Other parties involved in the investigation e.g. witnesses, will not be told the outcome of the investigation and/or of any further processes as a result of the investigation. There may be cases where no formal action will be taken however recommendations have been proposed. These will be communicated to the employee subject to the recommendations, their line manager and the HRBP for the School/Unit.

5.5.3 The outcome of the investigation will be stored in the employee who raised the complaint’s personal file (within HR). All other documentation relating to the investigation will be destroyed.

5.5.4 Where the employee subject to the investigation requests to see evidence during an on-going investigation, they will receive details of the allegation(s) but not any witness statements or meeting notes.

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5.5.5 Any questions or concerns about data protection or information disclosure should be referred to the Head of Information Assurance & Governance .

5.6 Final steps

5.6.1 The investigation report/conclusion must be submitted via email to the HR representative assisting with the investigation to store securely. Once the report is submitted, this will effectively conclude the role of the Investigation Manager unless formal action is recommended. In that case, the Investigation Manager will normally be required to participate in the formal hearing to present a summary of their findings. If unavailable, and in the interests of timely proceedings, the HR representative can attend on behalf of the Investigation Manager.

6. Support and advice

6.1 The University recognises that individuals who are required to participate in an investigation process may feel anxious about the process and therefore the University is committed to providing support and assistance for all individuals in these circumstances. Appendix B provides a list of internal support available to employees.

6.2 Appendix A shows a high-level overview of the full investigation process.

7. Version control

7.1 This procedure is not contractual and may be amended by the University from time to time.

7.2 This document will be reviewed periodically in conjunction with the recognised Trade Unions. Any employees who have questions about the procedure or would like to request changes to the document should direct these to their HR Business Partner.

Version Number

Purpose / Changes

Document status

Author, role and School / Unit

Date

1.0 New document In draft Lisa StewartHR

23/11/2020

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Appendix A: Investigation procedure flowchart

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Instigating an investigation

A concern, allegation or grievance has occurred.Informal resolution has failed or it is not possible to handle this matter informally. HR is informed (either directly from the individual or another source e.g Report & Support). Investigation procedure is initiated.

Appointing an investigation

manager

HR will appoint an investigation manager to conduct the investigation. This person will be selected ensuring there is no conflict of interest in the case. HR will complete a terms of reference document and provide this to the investigation manager.

Considering suspension

Depending on the circumstances of the case, suspension may be considered.Suspension will be communicated verbally and followed up in writing. The Disciplinary Policy provides further information on suspension.

Criminal proceedings

Depending on the circumstances of the case, the investigation manager may need to consider if the allegations warrant a criminal investigation/legal proceedings. This can occur at any point before,during or after the investigation process. Any matters that are deemed to require a criminal investigation should be raised with the Director of HR to decide on the appropriate action to take in the circumstances.

Preparing for investigation

Before commencing the investigation, the investigation manager will be required to read the terms of reference and identify clearly what the issue is, why this is an issue, how they will gather the facts, from who/what source, and when (timescales). It is recommended that investigation managers use the Investigation plan document to structure/map out their investigation as well as read the guidelines "Conducting an effective investigation"

Conducting the

investigation

The investigation manager is responsible for notifying the subject of the investigation and those involved in the investigation i.e. witnesses, and brief them on the purpose of the investigation/allegations (if appropriate).This is the fact-finding stage. It is likely that the investigation manager will use various sources to gather the information required.

Conclusion

The investigation manager will be required to review all information gathered from the investigation, properly evaluate it and summarise their findings in writing. It is recommended that investigaton managers use the investigation report template to structure their conclusions. The investigation manager will conclude their investigation and recommend action to take based on their assessment of the investigation findings.

Final steps

Once the investigation report/outcome is completed, this will normally conclude the role of the investigation manager.The investigation manager (or HR representative) may be required to participate in the formal hearing to present a summary of their findings.

Appendix B: List of internal support

Name of Department Contact details Service providedChaplaincy https://www.st-

andrews.ac.uk/chaplaincy/

chaplaincy@st-andrews.ac.uk

01334 462866 or 462492

Offers pastoral care and support for any employee, regardless of religion or belief (including non-belief). This includes sympathetic, confidential listening and a safe place to talk to someone about any issues affecting health and wellbeing.

Equality Diversity & Inclusion (EDI)

https://www.st-andrews.ac.uk/hr/edi/

diversity@st-andrews.ac.uk

01334 461649

Provides a confidential service of advice to members of the University community (staff, students, visitors) on any aspect of EDI. The Head of EDI is Sukhi Bains.

Human Resources https://www.st-andrews.ac.uk/hr/

humres@st-andrews.ac.uk (general email enquiries)

01334 463096

Provides support to employees of University of St Andrews.

• HR web and policy page • Dedicated HR Business Partner team for each School and Unit

Mediation https://www.st-andrews.ac.uk/hr/edi/mediation/

https://www.st-andrews.ac.uk/hr/edi/mediation/mediation/

mediation@st-andrews.ac.uk

Tel: +44 (0)1334 46 2048

The Mediation Service is a service for all staff and students and members of the public who are connected to the University who want to resolve disagreement informally. The service is also available for groups or teams seeking a collaborative, inclusive framework for problem solving issues.

Occupational Health https://www.st-andrews.ac.uk/ehss/occupationalhealth/

01334 462750

occhealth@st-andrews.ac.uk

Employees can refer themselves to OH for confidential health advice at any time.

One-to-one consultation/appointments

Expert support and advice provided

Recommended adjustments to support the employee

Partnership with external health practitioners i.e. counselling services and CBT.

Information Assurance and Governance

Dataprot@st-andrews.ac.uk Provides details of and can explain what rights an individual has and does not have in terms of access to their personal data and to other information held by the University.

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Student Services https://www.st-andrews.ac.uk/student-services/

theasc@st-andrews.ac.uk 01334 462020

Employees can contact Student Services for any student related guidance, support or advice. Open Monday to Friday;

09:30am to 16:30pm Student Services bespoke web

page Trade Union Representatives

https://www.st-andrews.ac.uk/staff/wellbeing/community/support/tradeunionrepresentatives/

Unisonhttp://unisonlocal.wp.st-andrews.ac.uk/

Unite http://www.unitetheunion.org/

UCU http://standrewsunions.org/ucu/

Trade union representatives are trained to deal and support employees with any workplace related matters of concern.

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Templates mentioned in the procedure

Section Document Page4.1.3 Terms of reference 144.1.4 Guidance for investigation managers 154.1.5 Investigation plan 174.6.1.1 Investigation meeting format 184.6.1.2 Meeting notes template 205.1 Investigation report 21

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Terms of reference

To be completed by HR

Name, ID number & job title of the individual who raised the matterInvestigation manager name & job title

HR name & job title

Date when the matter was raised to HR XX/XX/XXXX

Date when the matter was assigned to Investigation Manager XX/XX/XXXX

Name/s, ID number and job title of the individual subject to the investigation (if applicable)Name/s, ID number and job title of any individuals mentioned in the complaint/incident i.e. witnesses (if applicable)Does the employee have any live warnings (and/or been spoken to) relatable to these allegations (if applicable). If yes, please specify in the “brief summary of events” section.

Yes ☐ No ☐

Has employee subject to investigation been suspended? (if yes, complete the Suspension table below) Yes ☐ No ☐Is there a valid business reason to conceal the allegations from the employee initially? (If yes, please clarify this in the “brief summary of events” section)

Yes ☐ No ☐

Please use this space to clarify any significant delay in timings

Suspension timeline DateDate suspension was verbally communicated and commenced: XX/XX/XXXX30 working days since suspension commenced (Mon-Fri): XX/XX/XXXX

Brief summary of events

The complaint/incident will be investigated under the following policy/procedure (if known):

Grievance ☐Capability/performance ☐Dignity & respect at work ☐Disciplinary/misconduct ☐Gender based violence ☐Other or unknown (please specify): ☐

Please use this space for any comments/notes

Send completed document to the Investigation Manager along with the Investigation Plan.

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Guidance for Investigation Managers

Conducting an effective investigation

The role of an Investigation Manager

The role of an investigation manager is to be fair and objective so that you can establish the facts and reach a conclusion on what did or did not happen. An investigation manager should do this by looking for evidence that supports the allegation and evidence that contradicts it. In potential disciplinary matters, it is not an investigator’s role to prove the guilt of any party but to investigate if there is a case to answer.

The below steps will ensure that Investigation Managers are equipped with knowledge and guidance to be able to lead and co-ordinate an investigation from preparation through to conclusion. If the Investigation Manger needs clarity or further guidance at any stage of the process, they should speak with the HR representative assigned to the case.

Investigation preparation Read the terms of reference and complete the Investigation plan. Read the Investigation Procedure to ensure adherence to the process.

Handling an investigation meeting Notify individuals involved in the investigation and brief them on the purpose of the meeting

beforehand (where appropriate) ensuring appropriate notice is provided. Keep line managers of individuals involved in the process informed of logistics in advance of

meetings taking place. Allocate a reasonable time for each meeting. Ensure notes are taken at the meeting and shared with the individual. Be calm and conduct the investigation with thought and care. Use verbal (“Thanks for that”, “Help me understand”, “I’d really like to know”) and non-verbal

language (open, attentive body language, relaxed body posture e.g. avoid folding arms, steady nods, held but not constant eye contact).

Use clear, concise, relevant and understandable questions. Pay equal attention to different versions of events and avoid making assumptions. In circumstances where the individual is argumentative/aggressive, resist getting drawn into

the argument and reiterate the purpose of your role. Slow the pace down when a lot of information is being given. Don’t be afraid to pause or have a moment of silence to reflect on what has been said. Ask the individual to repeat their response to you if you do not understand what has been said. Move the individual forward if they start to repeat information already covered or not relevant.

Interviewing techniques Listen and concentrate to what the individual is saying and respond appropriately. Ask questions about sensitive and personal matters with delicacy and empathy. Keep questions short and clear. Start with open questions and give reasonable opportunity for the individual to respond. Use closed questions to establish meaning and to seek a specific response i.e. yes or no. Use focused, probing questions, not prying questions. Avoid blaming and leading questions. Probe responses if the individual has not clearly or accurately answered the question asked. Acknowledge the individual’s viewpoint and have an open mind to anything that is said.

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Below are some examples of useful interview question techniques for Investigation Managers to use to support them with their investigation.

Examples of different interview techniques

Open-ended questions

Talk me through what you witnessed/heardTell me your version of events about the incident on [DATE]In your view, XX is not a good manager. Can you elaborate?How did it make you feel?Who else may have relevant information?What happened? Where/when did it happen? Who did it?Are you aware of any other information that might be relevant?

Focused/probing questions

Could you tell me more about XX?How would you describe your relationship with XX? Describe XX behaviour towards XX?What did the complainant tell you?When you say XX was aggressive, what do you mean by this?You said that this has impacted on your work. In what way?What exactly did you mean by XX?When did the complainant tell you this?Tell me more about this….

Closed questions

Did you hear what was said? Did you see what happened? Has it happened before?When did this occur? What time did you leave?Did you speak to your manager about that?Who was present? How many people were involved in the incident?Is there anything else you would like to tell me?Do you know of any reasons that might have prompted this incident?“Do you know of others who might have information that is relevant?

Below are some examples of interview questions that Investigation Managers must avoid

Examples of questions to avoid

Interrogative/blame questions

Why did you do that?Why did you make that error?What was the reason for the aggression towards XX at the party night?Why did you react like that when XX is such a nice person?

Leading questions

Do you agree that the reason why XX went off sick was because XX was not capable of doing the job?Do you think you are overreacting?Did you touch XX leg or just happen to bump into them?Did you call them a XX out of anger or were you just joking around?

Discriminatory questions

I see you have a mobility impairment. Do you think this is the reason why you are underperforming in your role?I am aware that you have 5 children and I have heard you are struggling for cash. I have been made aware that £XX has gone missing out of the petty cash and people are saying it can only be you. Can you give the money back?

Multiple questions Did you see XX? Where were they? What was XX wearing?

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Investigation plan

For use by Investigation Managers

Review the allegations Use this space to plan what you need to investigate and how you will gather the information. Assess whether there are any legal/criminal issues associated with the matter that need to be

escalated. Consider if suspension or adjustments to the role need to be actioned. Prepare a plan for each meeting that includes specific questions that support the investigation.

Allegation/s Points to be explored/clarified & questions to consider

Investigation meetings/witness statements Decide who needs to be interviewed and in which order. Ensure prompt action is taken before

memories fade. Ensure this data is logged as you will require this information for the conclusion/report.

Name Date Time Location

Other evidence If you feel that there is a valid/justifiable reason to request access to other records, please

detail the reasons for this below and consult with the Head of Information Assurance and Governance.

Physical data request: Justification

Investigation timelineThis section can support the investigation manager in estimating the time it may take to complete the investigation. This time may vary depending on several factors and therefore there is a column titled “estimated” completion date and another titled “actual” completion date. You may need to detail this information in the investigation report/outcome if there are delays in the process.

Events Estimated completion date

Actual completion date

Investigation meetings/witness statements Written dataOther dataInvestigation report /conclusion

Use this space to provide comments including reasons for any significant delays

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Investigation meeting format A word version of this form can be accessed on the HR Policy page or via the following link.

Introductions and explanations Introduce yourself and your colleague (this will usually be a member of HR). If the employee has brought a companion along to the meeting: Confirm their role. If the

employee has not brought a companion, ask if they are comfortable to proceed without a companion/representative.

Confirm that no recordings should be made of the meeting and ask all parties to confirm that they are not recording proceedings and that they are aware to do so without permission is a disciplinary offence.

State the overall purpose of your role as Investigation Manager and of HR. Confirm that HR may ask questions for point of clarity.

Explain that the objective is to provide a fair opportunity for everyone involved to present the facts and to describe the situation under investigation as they see it.

State that the investigation is in accordance with the relevant policy, if applicable (disciplinary, grievance, dignity and respect at work etc.)

Provide a high-level explanation of the allegations/complaint and explain what specific facts are required from the individual.

Explain the structure of the meeting and state that notes will be taken and emailed to the individual after the meeting for review and approval. State that these notes will be an accurate record but not a verbatim record of what was said.

Confirm that at any point, the meeting can be adjourned if required. Confirm that at any point throughout the investigation, the individual can be re-interviewed or e-

mailed further questions to clarify information. Discuss the parameters of confidentiality and ask if the individual understands and will comply

with this requirement. If the employee has requested to remain anonymous: Explain that notes may be shared with

the complainant/accused if there are subsequent formal proceedings i.e. disciplinary. Clarify understanding on this point prior to progressing.

State that the individual must answer the specific questions asked and provide factual recollections of events only and not opinions on the matter.

Ask if the employee is happy to proceed with the meeting.

Collating the facts When an accusation has been made against an individual, advise the individual at the start

what the accusation is, then give the employee the opportunity to respond. When an individual has been requested to provide facts on a matter under investigation,

provide the individual with a brief overview of the allegation/complaint and be clear on what specific facts you want to seek clarity on.

Use the who, what, where, when and how questions to gather a systematic picture of what has occurred.

Probe thoroughly and don’t close the meeting until you have a full a picture as you can obtain. Ask the individual if there is any other relevant information the individual can provide and if

there are any witnesses that can corroborate the individual’s version of events.

Conclusions Summarise the responses provided and seek confirmation from the individual that this

summary is an accurate description of the facts stated. Explain what happens next: a reminder that they must not discuss the meeting with anyone

else; they will be given a copy of the notes and will be required to review and approve these. Thank individual for their co-operation.

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Concluding the investigation Investigation reports/outcomes must state the facts clearly to avoid misinterpretation. The report must be factual, non-judgemental and contain no evidence of bias.

Investigation managers can us the Investigation Report template to structure their outcome.

Ensure when concluding the investigation that the report/outcome: Reflects on all the information that has been collated; Highlights possible patterns and how they may fit together; Highlights any inconsistencies and/or differences in versions of events; Identifies any delays to the conclusion and explain the reasons for these; Confirms the resolution of the investigation including any recommendations. The

recommendations must be reasonable and reflect the findings of the investigation.

Records management Data Protection law requires that consideration is given to making use of the minimum personal data necessary to complete a specific task/activity, and to only keep personal data whilst there is a business need to do so. When an investigation has been completed, and the investigation report is finalised and approved, the following documentation should then be destroyed: Draft versions of the report; Emails where advice and assistance were sought on the production of the report; and Administrative communications e.g. emails asking witnesses to attend meetings.

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Meeting note template

Date:Venue:Attendees:

Attendance reason Name Abbreviation in meeting notes

Investigation Manager (interviewer) e.g. Louise Nixon LN HR representativeInterviewee (witness/subject/complainant)TU Representative

Other individual/s that are mentioned in the meeting

Name Abbreviation in meeting notes

e.g. Lisa Stewart LS

[TYPE UP MEETING NOTES – DELETE BEFORE USE]

Use of my personal data

I understand that my notes will remain confidential and will only be disclosed in cases where the outcome of the investigation results in a formal hearing i.e. disciplinary.

Sign-off Please tick one of the four boxes that apply below:

I agree that these notes are an accurate, but not verbatim, record of the meeting I attended, and I have made no changes. ☐I agree that these notes are an accurate, but not verbatim, record of the meeting I attended, and I have made minor changes/additions to the notes via track changes. ☐I believe that the notes are a factually inaccurate record of the meeting I attended, and I have made corrections/major changes to the notes via tracked changes. ☐

I do not wish to comment on the notes I attended. ☐

Please email a copy of the notes back to [NAME] within 7 calendar days of receiving these. If you do not comply with this timescale or provide a valid reason why this timescale cannot be met, the Investigation Manager will assume you agree that these notes are an accurate record of the meeting and will progress with the original version.

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Investigation report template

Contents

1. Introduction2. Methodology3. Summary of the complaint/allegation4. Summary of response5. Consideration of other evidence6. Findings7. Conclusion8. Executive summary and recommended actions9. Appendices

PLEASE READ BEFORE COMMENCING THE REPORT AND DELETE BEFORE SUBMITTING THE REPORT:

Important informationSuggested wording has been used in each section to support the Investigation Manager with structuring their report. This is only a guide and is not mandatory however we do request that the main headings are used to ensure the structure of the report remains consistent.

Dependent on circumstances, it may not always be appropriate to use the suggested wording/or secondary headings. It will be the Investigation Manager’s responsibility to determine this.

Wording highlighted in yellow must be changed to reflect the appropriate details for the investigation.

Red wording is helpful prompts for the Investigation Manager and must be deleted prior to finalising the report.

Styles/fonts

Heading 1 style should be used for main headings and all main headings must be numbered 1, 2, 3 etc.

Heading 2 style should be used for secondary headings. They should not show in the table of contents and must be numbered i.e. 1.1, 1.2 etc.

Normal style should be used for all other wording in the report (Arial, 12) and should be numbered i.e. if there is a main heading (i.e. 1) then a secondary heading (i.e. 1.1), then the paragraph would be numbered 1.1.1.

The contents table above is directly linked to “Heading 1”. To update the table of contents, right-click the table, click on “update field” then “update entire table”, click “OK” and this will update the page numbers and any additional headings added for example appendices.

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8. Introduction

1.1 Investigation Manager role

1.1.1 I, [NAME], [JOB TITLE] [ABREVIATION] was appointed as Investigation Manager on [DATE] and have had no prior knowledge of the complaint.

1.1.2 I have/have not received any concerns or possible conflicts of interest in my role as Investigation Manager throughout the investigation process. If the response is “have” you must provide context and how this was dealt with.

1.1.3 [NAME], [HR JOB TITLE] [ABREVIATION] provided procedural support and guidance to the Investigation Manager throughout this investigation and asked some questions in the meetings for clarity.

1.1.4 I confirm that I have read, understood and adhered to the Investigation Manager guidance throughout this investigation.

1.2 Remit of the investigation

This section should be used to provide a high-level summary to clarify the purpose of the investigation and if applicable the reason for the suspension/temporary measures that have been implemented, if applicable.

1.2.1 This investigation was carried out in accordance with the [CONFIRM POLICY/PROCEDURE] and the remit of the investigation was to look into the following allegation/s: [LIST THE ALLEGATION/S] as set out in [COMPLAINT/GRIEVANCE/EMAIL] dated [DATE]. A copy of this document can be viewed at Appendix [CONFIRM].

1.2.2 The purpose of the investigation was to establish the facts, consider evidence that supports and contradicts the allegation/s and decide if there was a case to answer. On conclusion, as Investigation Manager, I have proposed what actions should be taken upon the completion of this investigation which are confirmed in section 7 of the report.

2. Methodology

This section should be used to explain how the investigation was carried out - what methods were used to gather the information.

2.1 The evidence was gathered using a variety of sources which are detailed below under the relevant sub-headings.

2.2 All individuals involved in the investigation were informed of the parameters of confidentiality and acknowledged that they understood the requirements of this.

2.3 All individuals involved in the investigation were informed of the parameters of anonymity and acknowledged that they understood this. [One] individual has requested to remain anonymous which was approved and therefore their notes have been redacted to eliminate their identity. The individual is aware that anonymity cannot be guaranteed particularly if the matter results in legal proceedings.

2.4 [One] individual I had identified as a witness to the matter declined to be interviewed.

2.5 Investigation meetings [DELETE IF NOT APPLICABLE]

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2.5.1 The following investigation meetings took place between [DATE] and [DATE].

2.5.2 As part of my investigation preparation, I identified [CONFIRM NUMBER] appropriate witnesses that could help me establish the facts of the matter. Other potential witnesses were named in the investigation meetings by [NAME] and [NAME] and, of these, I interviewed [CONFIRM NUMBER] whom I had identified as being key relevant witnesses both to the events on [DATE] and as understanding the contextual background of the matter.

2.5.3 All meetings were noted and typed up after the meeting had ended. A summary of these notes was sent to each individual to confirm that they were satisfied they represented an accurate, not a verbatim record of the meeting.

2.5.4 [Corrections were made to some of the notes and other comments noted]. [No feedback was received by [NAME] therefore these notes have not been signed off.]

2.5.5 All of the notes can be located at Appendix [CONFIRM].

If there was a particular order/structure to the investigations, this should be outlined and the reasons for this.

2.6 Witness statements [DELETE IF NOT APPLICABLE]

2.6.1 Witness statements were used to gather information from [NAME]. State reason why statements were taken and not interviewed.

2.6.2 All individuals were provided with a list of specific questions about the matter which they were requested to respond to. All of the statements can be located at Appendix [CONFIRM].

2.7 Written records and documentation [DELETE IF NOT APPLICABLE]

Confirm any written documentation that was reviewed as part of the investigation i.e. previous related/live warnings, emails, RDS records etc. and the reason why this was used as part of the investigation.

2.8 Physical (including electronic) evidence [DELETE IF NOT APPLICABLE]

2.8.1 As part of the investigation, as Investigation Manager, I identified a need to review physical evidence namely [CONFIRM THE EVIDENCE REQUESTED] to help me clearly establish the facts of the matter. In order to review this evidence, I provided a business justification to the Head of Information Assurance & Governance, Mr Chris Milne. This was authorised by Mr Chris Milne on [DATE]. The business justification email and authorisation can be located at Appendix [CONFIRM]

3. Summary of the complaint / allegation

Section 3 will explain the findings from the perspective of the complainant/person who raised the issue and will outline the key allegations, examples raised throughout the investigation and what key facts and statements were documented. Deal with each allegation separately. Use links to your appendices to evidence your summary of events e.g. “LS section 12-14”. Note any inconsistencies, disputed facts and contradictions here also.

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3.1 Background of the subject of the investigation / complainant

Provide details of the individual’s employment history, current role and how long they have worked in this role for. Provide information on any history of application. i.e. the individual has an existing written warning for these behaviours already which is located in Appendix X

3.2 Allegation 1 [TO BE CONFIRMED]

3.2.1

4. Summary of response

Section 4 will explain the findings from the perspective of the alleged perpetrator/ subject of the investigation. This section should focus on what are the responses to the allegations and what key facts and statements were documented in the investigation. Like section 3, ensure to deal with each allegation separately. Use links to your appendices to evidence your summary of events and note any inconsistencies, disputed facts and contradictions here also.

5. Consideration of other evidence

You do not need to summarise each source of data you have gathered i.e. every investigation meeting; instead you should focus on key facts/statements raised which supports and contradicts the allegations stated in “summary of the complaint / allegation” and in “summary of response”. It would be helpful if the investigation manager dealt with each allegation separately again to mirror section 3 and 4. Ensure you use links to your appendices to evidence your summary of events and note any inconsistencies, disputed facts and contradictions here.

6. Findings

This section should summarise the results of the investigation weighing up the evidence gathered and documented in sections 3, 4 and 5. In assessing the evidence, the investigation manager should consider whether on the balance of probabilities, the evidence establishes that the alleged behaviour/conduct took place/was genuine misconduct, the behaviour/conduct was repeated/unwanted and/or a breach of the relevant policy/procedure.

It is recommended that you use the headings used in section 3, 4 and 5 to record your findings. This section should be used to thoroughly examine each allegation and analyse the data gathered. What specifically was said, what statements/facts supports the allegations i.e. “LN acknowledges swearing at LS on XX/XX/XXXX” and what information challenges the allegations/issues raised. “LN disputes swearing at LS on XX/XX/XXXX. This is also confirmed by a witness who corroborates LN’s version of events. “Whilst the conversation between LS and LN was “heated”, I did not witness any expletives during this conversation” (VI - 3)

7. Conclusion

This section should be your view taking into consideration everything documented in section 6.

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The standard that applies in workplace investigations is for the Investigation Manager to have reached a genuine belief based on reasonable grounds, and on the balance of probability, after having carried out as much investigation into the matter as was reasonable in the circumstances. For example; “Taking into account LN’s admission of swearing and the other evidence about her behaviour towards other individuals on occasions, on the balance of probabilities, it is likely that she also swore when she told LS to leave the room.” The evidence confirms that two individuals were witness to LN swearing and therefore I would recommend that there is a case to answer.

8. Executive summary and recommended actions

This section should sum up the investigation taking into account what you have stated in section 7. This should confirm what policy/procedure has/has not been breached, previous training/discussions which have occurred would show if the employee was/was not aware of “it” and any mitigating factors. The investigation manager should state whether the evidence supports or refutes the allegations and confirm if there is or is not a case to answer.

This section should be reasonably concise as your justifications are outlined in section 7. The investigation manager should also use this section to confirm what next steps/actions are required. E.g. “There is evidence that LN behaved in an unprofessional and inappropriate way towards LS on XX/XX, and that her conduct towards her was intimidating and unwanted. There is, however, insufficient evidence to conclude that her behaviour and actions over a period of time amounted to bullying and harassment”. The Investigation Manager should list any formal and informal action recommended in this section e.g. Formal disciplinary action, training, mediation etc.

The investigation manager must also confirm any additional actions to take forward that whilst outside the scope of the investigation, may still require action.

9. Types of appendices

The investigation manager should include as part of the appendices/supporting information:

A timeline of events; List of documents and evidence reviewed List of people interviewed Witness statements Extract from policy, University regulation or procedure of the alleged breach Definitions and abbreviations used in the report

Appendix A: List of abbreviations used

Name Title Abbreviatione.g. Cameron Little Investigation Manager Will be referred to as “CL”, “I”

or “my/me”e.g. Lisa Stewart Complainant Will be referred to as “LS” or

“Complainant”e.g. Louise Nixon Alleged perpetrator Will be referred to as “LN” or

“alleged perpetrator”

Appendix B: Definitions

Wording Definition Section of the report this relates to

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