INVESTIGATION CHECKLIST

Where to find things

1. Introduction ......................................................................................................................................2

2. Investigation overview ................................................................................................................... 2

3. Before you start investigating…prepare! ....................................................................................... 3

4. Questioning techniques ................................................................................................................. 4

5. The investigation meeting.............................................................................................................. 4

6. Your decision.................................................................................................................................. 6

a. Being ‘reasonable’ ............................................................................................................. 6

b. Balance of probabilities ..................................................................................................... 6
c. Confirming the outcome of the investigation .................................................................... 7

7. If you need extra help .................................................................................................................... 8

Introduction

Please fill in this checklist while conducting an investigation to ensure all procedures are followed.

 Date: _____________________________________________
 Colleague’s name: _____________________________________________
 Colleague’s job: _____________________________________________
 Investigating manager: _____________________________________________
 Note taker: _____________________________________________

1. Investigation overview

Step 1 - Investigating Manager meets accused

Step 2 - Investigating manager meets witnesses and examines other evidence e.g. CCTV (do you need to
speak to the complainant or the accused again)

Step 3 - Consider what the evidence is telling you and reach a conclusion (grievance upheld or not /
disciplinary case to answer or not)

Step 4 - Do you need to suspend (see suspension checklist)

Step 5 - If a grievance - face to face meetings with complainant and accused (separately)

Step 6 - Outcome report provided to complainant with right to appeal

• 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.
 2. Before you start investigating…prepare!

Purpose: investigate the allegations against a colleague(s) and decide whether or not they should be
invited to a disciplinary hearing.

The checklists below will help you prepare for and hold this meeting (not applicable to discussions that take
place as part of a colleague search or drink/drugs testing).


□ 1. Arrange the meeting room and a note taker (if needed). Give yourself enough time to hold a
thorough meeting so you have plenty of time to discuss all allegations/concerns

□ 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 concern(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 so you don’t get side-tracked):

□ 4. Locate the other information you need to make your decision, for example:

- Copies of notes from suspension meeting (if applicable)

- Copies of relevant letters, emails, texts/whatsapp etc. messages, or documents

- CCTV footage

- Copies of performance reviews and training records if applicable

- Customer/colleague complaints, witness statements or feedback from managers

- Shift records (were people actually working when they say they were)

□ Send a letter/email inviting the colleague to an investigation meeting (24 hours’ notice)

□ Has the colleague confirmed their attendance and told you if they are going to be accompanied by a
colleague
3. Questioning techniques
 4. The investigation meeting

Helpful tips:

ü Follow a logical sequence and ask one question at a time

ü Let the person you are interviewing do most of the talking
ü Is body language saying something different to their words – ask them about this
ü Keep your reactions to yourself - stay in control, be empathetic and remain professional
ü Don’t fill the silence; let the colleague think, or fill the silence themselves

Rationale/explanation if 24 hours’ notice has not been given (e.g. theft or driving issue):
 Investigation meeting P
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 go through it ask for their comments.

3 If a colleague doesn’t want to answer questions, explain this is an investigation meeting and 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 (refer to
suspension checklist)

8 Confirm that the colleague understands that the notes from this meeting will be used to make your decision,
and may be provided to other colleagues involved if requested.

9 Ask the colleague to read the notes and sign/initial each page to confirm that they are an accurate record of
what’s been 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

Following the meeting:

ü
1. Consider whether you need to carry out additional investigation e.g. further witness statements or view
CCTV (discuss any new evidence with the colleague before determining if they need to be invited to a
disciplinary hearing)

2. Discuss the matter with occupational health if the colleague claims their health condition has an impact on
their conduct.

3. If applicable, write to the colleague as soon as possible to invite them to a disciplinary hearing.
There is a template letter which you can use for this purpose.