Conducting Investigations - UK

The way in which any investigation is conducted will be a key element in the success of your dignity at work strategy – there is no point in introducing a comprehensive policy, training a network of harassment advisers and communicating widely and successfully if you do not have good, fair and transparent procedures for conducting investigations into complaints.

Such investigations are very sensitive and there should be procedures separate from your normal disciplinary and grievance procedures to investigate such complaints, using people who have had specific training in investigating bullying and harassment complaints. You should bear in mind that many complainants and witnesses will be fearful not simply about the outcome but about any repercussions of making the complaint in the first place and they should be reassured that the institution will protect them and make every effort to deal effectively with the aftermath and minimise trauma after the investigation has taken place and the outcome is known.

Therefore you should consider:

• Providing compulsory training for investigators and panel members;

• Ensuring that the investigation is conducted by two people, to gain the maximum benefit from the interviews. If you have investigators who are relatively new, try to team them with someone who has a lot of experience.

• Dealing with complaints in a sensitive, objective manner, respecting the rights of all parties involved;

• Keeping all the participants, including the witnesses, well briefed about the process and ensure that everyone involved is aware of how the findings will be communicated. Ensure that both the accused and the complainant are aware of what information they will receive at the conclusion of the investigation.

• Maintaining confidentiality – this is particularly important in a small institution, where the parties are likely to be well known to many other employees;

• Ensuring that complainants and witnesses are fully protected from victimisation. It is not sufficient to state in your policy that those concerned will be protected – you must have robust systems in place to ensure that this actually happens in the event of an allegation of bullying or harassment.

• Using open questions to elicit the facts of the case and ensure that all questions are as neutral as possible. In particular, try to avoid questions that appear to allocate blame, which will make the respondent overly defensive and will obscure the facts.

• Concluding the proceedings within a reasonable timescale;

• Making every effort to ensure, if possible, that the investigatory team and the panel are balanced in terms of race, gender, etc (this is particularly important in cases where sexual/racial harassment are at issue). Members of the Investigatory team and panels should also include staff from all levels of the institution and represent both support and academic staff.

From: Dignity at Work - A Good Practice Guide for Higher Education