The Investigation Manager will gather information relating to the complaint or allegation by interviewing or collecting written statements from those involved, gathering relevant documentation or physical evidence and referring to relevant University policies. They will use this information 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.

The University aims to complete all investigations within a few weeks to a month however this varies from case to case. This is dependent on the complexity of the complaint/allegations, the availability of witnesses, and quantity of evidence that needs collected and collated. The parties involved will be informed if there are any significant delays during an investigation.

The Investigation manager is usually appointed by HR having undergone training or been deemed to have suitable knowledge or experience of investigations and should be:

• 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.
• ensure that they have adequate time out with other work priorities to manage the case.
• 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.)

All members of the University community are expected to cooperate and participate fully where they have been involved and/or witness to an incident and the Investigation Manager believes that their participation is necessary to assist the investigation. Unreasonably refusing to follow a request to participate in an investigation without a legitimate reason may result in disciplinary action. If there are legitimate reasons why you do not want to participate in an investigation, you should raise this with the investigation manager or your HRBP. Further information on the process of being a witness can be read in the witness guidance.

No. All parties involved in an investigation process have an obligation to maintain confidentiality and not disclose any information discussed, or shared with others. If you need any support, please speak with the HR representative or Investigation Manager dealing with the matter.

Suspension with pay may be considered at any point throughout an investigation where the allegations against an employee are sufficiently serious/alleged serious misconduct. In most cases, a decision to suspend will usually be made prior to the start of an investigation and be decided by the Head of School/Unit in consultation with an HR representative, although this may be reviewed during the course of the investigation as evidence comes to light. Suspension is always a last resort however and will only occur after other alternatives to suspension have been considered.

It will be necessary to inform your manager about your involvement in an investigation both to allow them to offer support and facilitate any time off for meetings. They are expected to maintain the same confidentiality during this process as the employee.

You should contact the HR representative for the case and they will look to reschedule the meeting to a mutually convenient time, where possible.

It will depend on the circumstances.

If an employee is on sick leave, the investigation manager will be notified of this and must balance the need to avoid unreasonable delay in proceedings, with the importance of allowing the employee to give their side of events. In these circumstances, the investigation manager will need to determine whether the employee is well enough to attend a meeting, and this will be based on medical information received from the employee’s GP and/or Occupational Health guidance.

Given the sensitivity of these matters, these cases will be reviewed on a case-by-case basis and always with the guidance and advice from HR and a medical practitioner.

There is no legal right for a witness to be accompanied at an investigation meeting or disciplinary/appeal hearing. If you feel that you would prefer someone to accompany you e.g. a Trade Union representative or a work colleague, you should raise this to the HR representative responsible for setting up the meeting so that this can be arranged. You can also download the witness guidance which outlines what to expect if you are asked to be a witness. 

Yes, employees subject to an investigation will be given the opportunity to bring either a TU representative or colleague with them for support at the investigation meeting if they require this. Their role is to support the employee and take notes for them if needed, however they cannot answer questions on their behalf. Employees can decide to come alone to a meeting if they wish also.

Yes, there will be a HR representative or note taker there who will take notes and then provide a summary of this to you to review and sign afterwards.

The notes will be used by the investigation manager to compile a report and outcome letters. The person who has raised the issue (complainant) would not ordinarily have access to the notes but may get a summary of what is said in their outcome letter so that they understand the justification for the outcome.

Employees under investigation will ordinarily receive a letter from either HR or the Investigation Manager on conclusion of the investigation. This will give a summary of the findings and any information on recommendations or further action.

What support will be provided to me during the investigation?

Investigation Managers will be given a nominated HR representative to support them throughout the investigation. They will be available to give advice on employment legislation, enable consistency across the University, and provide administrative support such as organising meetings, note taking and collating evidence.

Is there formal investigation training available to me?

Yes, a course is run by twice a year on carrying out investigations. Interested managers should contact HR or OSDS for course information.

How much time do I need to dedicate to an investigation?

This will depend on the size and scope of the investigation. Investigation managers will need to make sure they have a suitable amount of diary space to allow for interviewing employees involved, analysing the evidence and writing a report of the findings. They may also need to attend a hearing afterwards to present the findings. It is preferable to discuss this with the HR representative assigned to the case prior to starting. They will be able to give an estimation of time and be on hand to assist during the investigation.

What happens if new issues come to light during the investigation?

If a new matter comes to light during an investigation, the Investigation Manager will incorporate the new allegations into the existing investigation (if appropriate) and update the Investigation Action Plan (Word, 511 KB), unless it would make the investigation overly burdensome or unduly complicated. The Director of HR (or appropriate delegate) will advise in these circumstances.

What happens if one of the witnesses ask to remain anonymous?

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 however it may be considered in exceptional circumstances, if requested, where it is considered that there is a real or pertinent fear/threat of danger, and the witness has legitimate grounds for that belief. 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.

What happens to the investigation documentation when I have concluded?

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 Disciplinary action is recommended and you are requested to present at the Disciplinary Hearing. This is not always required and the investigation report may be sufficient in some cases.