How an investigation works

How an investigation works.

This is a sample structure for the holding of a workplace investigation. It will vary depending on the circumstances but would not stray far from this.

  • Terms of reference of the investigation to be agreed
  • Confirm that details on nature and content of the allegation as well as the terms of reference of the investigation are known to each party.
  • Preliminary meeting with each party to outline procedure. (Optional; this can happen at first interview).
  • Meeting with complainant to take full details of the allegation in detail and collect further information. This may be recorded with the consent of the party.
  • General note of complainant meeting to be sent as draft for comments. This will not be a verbatim but the general report of the meeting. Where a recording has been made a copy of the sound file may be provided.
  • Complainant to review the notes and agree them following which they are copied to the respondent.
  • Meeting with respondent to hear response and likewise investigator notes to be forwarded for agreement, and then sent to complaiainant.
  • Any witnesses to be interviewed or statements taken
  • Witness statements to complainant and respondent with invitation to respond to these statements
  • Investigator to move to close the process by submitting a  draft report based on the provisional conclusions (where this is provided for in the Terms of Reference)
  • Final report to commissioning manager on the out come, copied to parties

Important: The Investigator should only make  recommendations if required by the Terms of Reference  but should not reach any findings of culpability. Recommendation may relate to a need for training, mediation etc.

Following the investigation the relevant manager to take action in line with company policy.

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