Guidance Notes on Conducting Investigations
The Purpose of the Investigation
An adequate investigation is a pre-requisite to the timely and fair handling of any potential conduct issue. Whilst a Manager does not have to explore every possible avenue, they should ensure that they:
- Enquire into the circumstances surrounding the suspected or alleged issue
- Inform the employee that an investigation is being conducted, and give the employee an opportunity to offer an explanation (only in exceptional circumstances would the employee not be informed that an investigation was underway), advising that possible disciplinary action may follow.
- Take a balanced view of the information that emerge.
- Reach a decision as to whether there are grounds to proceed, and if so, whether the issue should be dealt with informally or formally under the relevant procedure.
Where the case involves alleged serious or gross misconduct, the individual may be suspended on full pay pending further investigation. In such cases, the suspension procedure will be followed (see relevant Ordinance for details).
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Who Should Conduct the Investigation?
It will normally be the responsibility of the line manager, or other appropriate nominee, to conduct the investigation, although in some circumstances it will be appropriate for a Personnel Manager to undertake this role. It is recognised that the appropriateness of any given investigator will be very dependent upon the circumstances of the case and the investigator will be nominated following discussion with the relevant Personnel Manager.
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Confidentiality and Timescales
Any investigation will be conducted in such a manner as to maintain confidentiality as far as possible and care shall be taken not to undermine the individual in relation to their colleagues. The investigation should be conducted in as short a period as possible.
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The Procedure
- The line manager (or other investigator, where applicable) will normally inform the individual that an investigation is being carried out. S/he will be advised of the nature of the allegation(s), including any written complaints that have been made.
- The individual will normally be interviewed as part of the investigation. Where the investigator believes there are grounds not to interview the individual, this must be agreed with the relevant Personnel Manager. The individual will be given the opportunity to be accompanied by an adviser, friend, trade union or other representative.
- Witnesses, or other individuals who are believed to have significant information or knowledge in relation to the matter, should be interviewed as soon as possible. Written statements, or countersigned notes, should be obtained from the witnesses. It must be made clear to any Witness the use to which their statements/notes could be put, and the fact that they may be expected to attend a subsequent meeting under the relevant procedure and be questioned on their evidence. Witnesses will be offered relevant support and the University will take all reasonable steps to protect witnesses in cases where they may be, or feel, particularly vulnerable.
- On completion of the investigation, the Manager (or other investigator, where applicable) should consult with the relevant Personnel Manager and analyse the facts and evidence. A decision will be taken as to whether it is appropriate to take any further action, and if so, under which procedure and at what stage such action should be taken.
- Where action is to be taken, the evidence gathered should be compiled in an appropriate manner for presentation to the individual/Manager/Panel. This may involve writing a short report on the investigation, the findings, and recommendation for further action, including Witness statements as appendices as appropriate.
- The Personnel Manager will be responsible for advising on consistency of practice across the University and the validity of the approach being proposed.
- The appropriate Head of Department/Head of Division/Dean or Registrar will be kept informed of the case (where s/he is not the investigator).
- The investigation will be concluded in as short a time as possible, and at the conclusion of the investigation the individual will be informed quickly as to what action, if any, is to be taken.
- At the conclusion of any investigation, appropriate information will be imparted to those involved, relating to the outcomes and reasons, taking due account of confidentiality.
- Records of and reports on any investigation will be held only on the central Personnel file of the individual(s) investigated.
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