Appendix 2

MODEL MANAGEMENT REPORT OF INVESTIGATION

CONFIDENTIAL

MANAGEMENT REPORT OF INVESTIGATION

NAME OF EMPLOYEE, JOB TITLE, DEPARTMENT

ON (DATE)

NAME OF MANAGEMENT REPRESENTATIVE

Investigating Officer (if different)

HR/Manager Accompanying

The Report should include the following Sections:

1. Cover Page

-The front page of this document provides a draft layout for the Investigatory Report covering page

-

2. Contents Page

-Detail the statement of case contents and provide an index to guide the panel to the supporting appendices (all of which must be referenced from the statement of case)

3. Timeline

-It is helpful for the panel, especially in complex cases, to see a timeline summarising in chronological order the key dates relating to the case. The timeline should be presented in a table i.e:

Timeline of Disciplinary Issues
Date / It was brought to management’s attention through [e.g. letter of complaint, complaint by fellow employee] that [employee name] had … [detail allegations]
Date / [Employee name] was suspended from duty by [manager name & designation]. [Detail any others present]
Date / Letter issued to [employee name] confirming suspension [
Date from/to / Investigation was carried out by [names & designations]. Give brief details of any key witnesses interviewed, professional advice obtained e.g. OHS advice, and highlight any issues with regards to timescales [eg. employee unable to attend meetings due to sickness, witnesses not available].
The investigating officers concluded that there were sufficient grounds in respect of … [detail allegations] for the matter to be referred to a disciplinary panel

4. Report

-Give the report a structure with headings to separate out the key elements of the case e.g.

4.1Introduction

Detail the date and venue for the investigatory interview, those present at the interviews, the policy/policies under which the Interviews were convened, and the names of the investigatory officers. Confirm the name and job title of the manager who commissioned the investigatory process.

Add in detail that all employees interviewed were sent investigation notes to confirm they were an accurate reflection of what was discussed at the investigation meetings. Any amendments which were highlighted in returned notes have been included. Employees were advised that if they failed to return their notes by a specific date then it would be presumed they accepted the notes as an accurate reflection.

4.2 Background

Provide the individual’s name, length of service. In what service in the Board the individual works and what their post is

Provide a brief summary of the allegation/complaint leading to the disciplinary investigation.

4.3Investigatory process

Detail how the allegation came to light, the initial fact finding, and the details of the investigatory interviews, including witnesses interviewed in order that the events happened.

Outline the main facts presented and considered at the investigatory hearing, including any mitigating factors which were put forward.

Provide a summary of the response from the employee regarding the allegations raised against them and any mitigating factors.

4.4 Findings

Summarise the conclusions from the investigation making reference to witness statements, factual evidence and the employee’s response to the allegations, whether there is evidence to support or negate the allegations etc.

Confirm whether the allegations are upheld/ not upheld and the evidence to support these findings.

4.5 Recommendations

The investigating officers may wish to make recommendations to the receiving manager with regards to next steps, whether this be no further action, some form of supported improvement, further disciplinary action in the form of a disciplinary hearing or other. It is not the role of the investigating officers to give their opinion on disciplinary sanctions however they can recommend the case is considered further at a disciplinary hearing, if they feel this is required.

Confirm the reasons why the recommendations have been made, i.e if recommending disciplinary action this is due to [evidence/ reasonable believe] to support the allegations due to [reasons as detailed under section 4.4].

5.0 Appendices

List all documents referred to in the Report, e.g.

  • Letter of suspension
  • Statements from witnesses
  • Letter inviting individual to investigatory interview
  • Letters inviting witnesses to investigatory interview
  • Include notes of the investigatory interviews
  • Include policy/procedures followed

The above are examples of appendices that should be in an Investigatory Report. Additional appendices may be included as required.