.................................................................................................................................................................... 2 .......................................................................................................................................... 2 ........................................................................................................... 3 ......................................................................................................................................... 4 .................................................................................................................................... 4 ............................................................................................................................................. 5 ............................................................................................................................................. 6 .................................................................................................................................................. 6 ......................................................................................................................................... 6 .................................................................................................... 8 ............................................................................................................................................ 8
Internal, Investigation checklist, Version2, Page 1 of 8 May 2016
Please complete this checklist for investigation you are conducting to make sure you’ve done everything you need to do. This form should be used in conjunction with the disciplinary or grievance policy which will give you more information.
Date: Colleague’s name: Where to find things Colleague’s job: Investigating manager: Note taker:
Interview the person making the allegations
Inform the person accused of the potential wrongdoing
Interview witnesses if there are any and consider any other evidence e.g. CCTV, personnel file
Interview the person accused of the potential wrongdoing
Do you need to go back and talk to anyone again?
Consider what the evidence is telling you and reach a conclusion about whether there is a disciplinary case to answer
Do you need to suspend (see suspension checklist LINK)
If a disciplinary case to answer, arrange for an impartial manager to hear it
Investigate calmly and promptly. Gather all the relevant facts before memories fade, and establish whether a case exists. Be objective, fair and consistent, and consider each case on its individual merits. Avoid making judgements until all the facts are known - keep an open mind.
Internal, Investigation checklist, Version1, Page 2 of 8
1
Arrange the investigation meeting room and a suitable note taker (see policy for guidance) - you may also find it helpful to check that the colleague’s chosen representative is available for the meeting - make sure you have enough time to hold a thorough meeting
2
Read the information you have been provided with (if there is any) to ensure you fully understand what allegations/concerns are being investigated - identify the key issue(s):
3
Write down the key areas you intend to discuss with the colleague (these will not be the only questions you ask, but will help remind you of the key points during the meeting so you don’t get too sidetracked):
4
5
Consider what other information you might need to make your decision e.g.: - (Right to work) A Negative verification Notice from the Employer Checking Service - Training records - Progress review forms - CCTV footage - Live disciplinary warnings (expired warnings can’t be linked to a new warning however might be relevant for other purposes e.g. a) show the colleague has/should have a heightened awareness of a specific policy/rule/requirement; and/or b) they might cast doubt over a colleague’s credibility e.g. where there is an allegation of dishonesty or where we have one colleague’s word against another) - Relevant emails or documents - Customer complaints - Witness statements from other colleagues - Texts or emails to/from the accused employee - Information on social networking sites - Time and attendance - check people were working when they said they were - Notes taken at the suspension meeting (if applicable) Send a letter inviting the colleague to an investigation meeting (24 hours’ notice)
Internal, Investigation checklist, Version1, Page 3 of 8
Don't ask leading questions e.g. “Did you hear Jeff telling Dana to xxx off?” “Did you hear Jeff saying anything inappropriate to Dana?”
Helpful tips: Follow a logical sequence (this is why it’s helpful to have some prepared questions) Let the person you are interviewing do most of the talking Don't ask a series of connected questions - ask one question at a time Watch the body language of the person you are interviewing – is it saying something different to their words? Keep your reactions to yourself - stay in control, be empathetic and remain professional Don’t try to fill silence; let the colleague think, or fill the silence themselves – you may learn more this way
Internal, Investigation checklist, Version1, Page 4 of 8
1
Explain allegations one at a time to the colleague and ask them for their view/version of events/comments
2
If the other evidence contradicts what the colleague is saying, show them - go through the evidence and ask for their comments
3
If a colleague doesn’t want to answer questions, explain to them that this is an investigation meeting and it’s their opportunity to let us know their version of events. Encourage them to participate but explain that you will make a decision on the basis of the information you have which may be without their input
4
If the colleague’s explanation is incomplete, inconsistent with the known facts, or is evasive, explain this to them and probe them with further questions to see whether they can elaborate
5
Confirm if there are any witnesses who can back up their version of events
6
Summarise what they have told you to check your understanding of the allegations
7
Conclude the meeting by informing them of what your next steps will be e.g. - You believe there is no disciplinary case to answer - You will conduct further investigations (and as such you need to arrange another meeting with them – agree the date and time now, there is no need to send another invite letter as long as it’s captured in the minutes) - You need time to consider your decision - You believe there is a disciplinary case to answer - Suspend the colleague (if appropriate)
8
Ask the colleague to read the notes and sign/initial each page to confirm that they are an accurate record of what we’ve discussed - If amendments need to be made, do not score out the original wording, simply write the correction at the end of the notes - if they refuse to read or sign the minutes, make a note that the colleague has done this - ask the colleague if they would like a copy of the meeting notes and where possible provide these at the meeting
You may need to: Carry out further investigation to obtain additional evidence that’s come to light. Discuss the case with Occupational Health if the colleague claims that their health condition this has had an impact on their conduct. Take further witness statements. (Right to work) take advice from the central Employment Compliance team Meet with the colleague again before making your decision – you might need to do this if: - the witnesses have told you something that contradicts what the colleague is saying and you want to ask the colleague why this might be; or - you have other evidence which you need to show them to ask for their view on (you must make sure that you have discussed all relevant evidence with the colleague during the investigation or, if you obtain information at a later date, before you make a decision).
Internal, Investigation checklist, Version1, Page 5 of 8
The decision you make has to be reasonable. By this we mean that most ‘reasonable’ employers would make the same decision, based on the information that you have. Consider – what would most reasonable employers do, in the circumstances you are investigating? Would they: -
Put the matter forward to a disciplinary hearing Recommend the colleague receives extra training or coaching Find no disciplinary case to answer because, for example, there’s been an unavoidable misunderstanding, or the colleague has never been told the right way of doing things
If you are weighing up contradictory evidence, you must decide what version of events is the most plausible. You are not required to find 100% proof of misconduct before deciding whether there is a disciplinary case to answer, but you should be able to show that the combined circumstantial evidence points to one outcome being more plausible than another. A good way to think about this is…if you gave all the evidence you have to another 100 people, would at least 51 of them draw the same conclusion from it? Taking everything into consideration, establish if you believe that on the basis of a balance of probabilities, you genuinely believe that an act of misconduct or gross misconduct has been committed, or that the colleague is unable to work legally and, therefore, whether a formal disciplinary hearing will be required. As this is an investigation, you don’t have to consider what level of disciplinary action is necessary.
Internal, Investigation checklist, Version1, Page 6 of 8
Allegation(s):
What have you seen and heard that supports the allegation?
What have you seen and heard that doesn’t support the allegation?
Conclusion:
Internal, Investigation checklist, Version1, Page 7 of 8
1
Invite the colleague to a reconvened meeting
2
Inform the colleague verbally of your decision (apologise if necessary where there’s no case to answer)
3
If this accusation was part of a grievance, inform the colleague raising the grievance of your findings (either you uphold their grievance in full or partially, or not at all).
4
Where applicable, arrange for an appropriate manager to hear a disciplinary
5
Where applicable, confirm the outcome of the grievance in writing, to the colleague who made the complaint. This colleague should receive a copy of: Their own meeting notes A report outlining their allegations, your findings and your conclusion They would not normally be entitled to receive copies of your entire investigation. If they raise a Data Subject Access Request for this, please contact
[email protected] for advice
Your People Manager/Partner, Group People Manager or People Business Partner can support you with the majority of questions you have. If there’s a particularly complex case, these managers will take advice from the central Employee Relations team. If you are faced with highly complex or sensitive cases such as those listed below, our Group Security team can give additional advice:
Bribery Corruption Theft (Substantial cash loss or high value goods) Robbery Assault Computer Misuse, especially involving the downloading of inappropriate material Deliberate damage or vandalism Drug offences Harassment, especially involving sexual bullying Sexual offences Breach of Data Protection Legislation Breach of Business Code of Conduct
Internal, Investigation checklist, Version1, Page 8 of 8
