How to conduct an effective internal investigation

Introduction
The University has a number of formal employee procedures where undertaking investigations are integral to the process involved. These include, but are not limited to, the Disciplinary, Grievance and Dignity at Work procedures. Conducting an internal investigation into alleged incidents requires skill and tact. It is likely to be a difficult and upsetting process for both the person making the allegations and the individual being investigated. The person carrying it out (the Investigation Officer) must balance thoroughness with fair treatment towards all those involved. This isnt easy but can be achieved. It is important to ensure that the investigation is: Impartial Thorough Fair Managed confidentially; and Completed within a reasonable timescale this is vital. Before any decision is reached on action that is or is not required it is crucial that there is sound and detailed evidence on which to base that decision. The fairness of a process can be challenged through the appeal stages of a procedure and failing to conduct a full investigation, in all but the most exceptional circumstances, may render any subsequent action unfair. In exceptional circumstances where dismissal has occurred on the basis of a scant investigation, this may be challenged at tribunal and the dismissal rendered unfair. Such action can have costly consequences in terms of tribunal awards, staff morale and University reputation. Purpose of Interviews To gain a fuller picture of the situation To establish the facts To gain evidence which supports/refutes the points in the case To gain interviewees reaction to documents/statements that conflict with their account To identify complainants preferred solution

Guidance
This Guidance is designed to provide information on how best to conduct an investigation, including addressing some of the issues that arise during the process. The role of Human Resources Any manager intending to undertake an investigation under one of the Universitys formal procedures should seek advice from the HR department before doing so. They will provide professional and administrative support through the process. It important that HR and the investigating manager work together and that communications are maintained.

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Who is the Investigating Officer? The University procedures provide that the line manager should be the Investigating Officer when allegations arise. In exceptional circumstances the line manager may appoint another to conduct the investigation of their behalf. Such circumstances may apply if the line manager is exceptionally busy or due to go on leave and the need to conduct and conclude the investigation swiftly is essential. The timescales set out in the University procedures should be adhered to where possible. In these circumstances the role of the Investigating Officer will be solely to investigate the facts and gather the evidence. They will present this in a report for the line manager who will then make a decision on what action, if any, is necessary. How serious is it? An investigation must establish the seriousness of the alleged act and be proportionate to it. So, as a manager, your response may range from a brief discussion with the employee to establish the facts, to a full scale investigation involving other agencies such as the police. The objective should be to provide sound evidence for any subsequent action. Investigators should ask themselves what they should reasonably expect to achieve given the time and resources available. Separation of powers In accordance with the Disciplinary procedure, the person conducting the investigation should not also hear the case if it goes to disciplinary hearing. Equally, if the result of a Grievance or Dignity at Work investigation is that a disciplinary hearing is required, the Investigation Officer will not hear the case. These two functions should be kept separate in the interests of natural justice. A panel will be selected that is independent and the Investigating Officer will present the case. He/she will not be on the panel. However, if the outcome of the investigation is that informal action is needed to resolve the situation, the Investigating Officer will decide what the appropriate action should be.

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Keep an open mind Do not assume guilt or innocence. It may be necessary to decide whether the employee against whom the allegations have been made should be suspended on full pay pending the investigation. Such action should not be taken without seeking HR advice, who will make sure this is described as a precautionary measure; it will be made clear it is not a disciplinary sanction. Such action should only be considered in more serious cases where the employees continued presence in the workplace might have a disruptive effect or enable employees to undermine the case against them. Establish the evidence At the outset, you should identify the types of evidence you need to gather. Dont rely merely on witness statements. Think about gathering files, documents, CCTV footage or computer records, if available. Policy documents can also be used. If any evidence is likely to perish or be removed, gather it as a priority. Decide who you need to interview and do it as soon as possible before memories fade. You are entitled to interview the employee(s) against whom the allegation has been made, but it should be made clear that it is an exploratory interview and not a disciplinary hearing. Identify what you need to establish from each interviewee and prepare accordingly. Whilst you can have a pre prepared list of questions, these should not be stuck to religiously during the interview and must be used as a guide only. This is because you may need to explore particular responses in more detail during the interview. It is better to prepare a list of topics and decide on the order in which you wish to deal with them

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6. Notify the employee(s) of the Investigation Where an allegation has been made against an employee(s), they should be informed of the allegations made in writing. The letter should detail the University procedure that applies, who has made the allegations and the nature of them (the relevant Policy provides detail guidance on this). They should be invited to a meeting with the Investigating Officer and given the right to be accompanied by a Trade Union representative or friend. 7. Notify witnesses Where witnesses need to be interviewed as part of an investigation, they should be informed of this in writing. The letter should detail the University procedure that applies, the nature of the allegations made and who against. They should be invited to a meeting with the Investigating Officer and given the right to be accompanied by a Trade Union representative or friend. The letters referred to in 6) and 7) will normally be sent by HR on behalf of the Investigating Officer. 8. The Interview: suggested structure Opening: Explain: Roles e.g. Notetaker Context of Interview The meaning of confidentiality How the interview will be conducted What will happen afterwards Set the scene Establish rapport Main body: Obtain facts Ask the witness to follow events through in chronological order Keep control of the discussion Clarify points Summarise to confirm understanding Make notes Answer questions from interviewee Questioning Techniques: Ask for specific examples of behaviour Where possible, use open questions Avoid leading questions/statements Ask questions which reflect information gained during the investigation 9. Manage witness expectations Witnesses should be informed at the end of the interview that if the case results in a disciplinary hearing, they may be required to give evidence. They need to be aware that anonymity cannot be guaranteed unless there is a genuine fear of reprisal.

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Interview notes Make full notes when interviewing individuals. Notes should be taken by a third party to ensure they are comprehensive and that you can focus on the questions and responses. Draft statements should be taken back to the interviewee for approval and signature. The notes on which the statement was based should be retained until the conclusion of the process, including any subsequent appeal. Dont put words into interviewees mouths or suggest answers. Your questions should encourage them to recall their version of events in their own words. Is the allegation criminal? Some of the more serious allegations may potentially be criminal offences. If you suspect this is the case, you may need to inform other agencies, for example, the Health and Safety Executive or the police. The evidence you gather for your internal investigation may also be required for a parallel criminal investigation. If this is the case, continuity of evidence is important. For your evidence to be admissible in a criminal prosecution, you need to be able to demonstrate its physical location at any point in time. Seek legal advice at an early stage on how continuity can best be achieved. Handle confessions with care If an employee admits to a criminal offence during the course of an investigation, it is advisable to make a note of it in case it needs to be used as evidence in any subsequent criminal proceedings. The notes should be timed, dated and signed by the person taking it and the employee should read and sign them. Where the employee disagrees with the record, note the details and ask them to read and sign them to the effect that they accurately reflect the disagreement. Any refusal to sign should also be recorded. The investigation should then be terminated with a view to involving the police or any other appropriate investigatory body. Failure to do this is likely to make such unsolicited comments inadmissible in a criminal court. When its over, its over When you feel you have sufficient evidence on which to base a decision, finish the investigation and prepare your report. This should detail: The allegations made/description of the complaint How you conducted the investigation (methodology) What evidence you have gathered physical and witness statements (this evidence should be attached as appendices to the report) Findings evidence to back up or contradict allegations Your conclusions based on the facts, including whether you feel the allegations have been upheld or not. Depending on the procedure, your recommendation on action, if any, to be taken. Weighing up conflicting evidence Questionable evidence: Inconsistent with documents produced at the time Vague/omits specific details Contains contradictions

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 Given anonymously Considerations: Does the complainant have any reason to bear a grudge Individuals perceptions of the same events may differ Can a view be formed with incomplete evidence? Note that the standard of proof required for internal investigations and any subsequent action is not the criminal law standard of proof-just a reasonable belief. You do not have to prove your case beyond reasonable doubt for it to stand up in a tribunal. Finally. Ensure the investigation is conducted swiftly unnecessary delay is not fair to any of the parties involved and may lead to any subsequent action being challenged. Make sure you look into all aspects of the case, whether stated at the outset or discovered whilst undertaking the investigation. If during your investigation you feel you need to speak to unanticipated witnesses or gather physical evidence then do so. Make sure you consider all evidence before reaching your decision. Remember, going through the motions is not sufficient. You must be thorough.

S/HR/Policies/ Conducting an Investigation GUIDANCE (Jan 2009)