Management of Investigations

27th November 2024

These are the responsibilities of the investigating manager/team that is responsible for conducting Step 3: Investigation of reported concern/complaint

An investigating manager or team will be appointed to lead the investigation into the allegations and will have the following responsibilities:  

• Arrange individual interviews with relevant witnesses or individuals and inform them of their right to be accompanied at the meeting by a legal advisor / trade union representative / work colleague.  
• Establish the facts/obtain statements/collect documentary evidence.  
• Maintain detailed records of the investigation process.  
• Make any recommendations for action to be submitted to a more senior manager.

The investigating manager or team will have the following responsibilities towards the employee or party who raised the disclosure:  

• Hold a formal meeting with the employee making the complaint to discuss the matter.  Inform them of their right to be accompanied at any interview by a legal advisor / trade union representative / work colleague. 
• Keep the employee up to date with progress on the matter and agree timescales for action.  
• Notify the employee making the disclosure about the outcome of the investigation, including how the matter will be dealt with and whether they will be required to attend an investigatory interview.  
• Give details of employee support mechanisms available. 

The investigating manager or team will have the following responsibilities towards the party against whom the disclosure is raised, pending consideration of the severity of the allegations, legal counsel’s advice and safeguards to avoid tipping off:  

• Inform the individual/individuals about whom the disclosure is made in writing of the disclosure, the seriousness of the allegations and provide any supporting evidence.  
• Advise in writing of the procedure to be followed.  
• Give the person the opportunity to respond in person and in writing to the claims made, and receive and consider any relevant evidence.  
• Inform them of their right to be accompanied at any interview by a legal advisor / trade union representative / work colleague.  
• Give details of employee support mechanisms available.
• The investigating manager may also be required to act as a witness at any subsequent disciplinary hearing if required.  
• Where necessary the Company will provide support, counselling or mediation to any team subject to investigation in order to ensure normal working relationships are resumed as effectively as possible.

The manager appointed to hear an appeal will have the following responsibilities:  

• Hold an appeal meeting with the person who made the disclosure.  
• Ensure all parties are informed of their right to be accompanied at any meetings by a legal advisor / trade union representative / work colleague.  
• Review the investigation report/procedure followed and findings.  
• Decide whether to uphold appeal or not.  
• Initiate a new investigation if necessary.  
• Report the appeal findings in writing to the Chief Executive, if applicable.  
• Communicate in writing to the employee making the disclosure the outcome of the investigations, and the employee against whom the disclosure is made on the concerns raised and the next steps.

In case the accused or the accuser is not satisfied with the final outcome of the investigation, they are free to report the same to their line manager or HR. In case this is not an option, they can follow up with their internal grievance procedure.