Best Practice Guide to Investigations & Suspension · Best Practice Guide to Investigations & Suspensions – 2019 2/8 1. Introduction 1.1 SCAS believes that the vast majority of

South Central Ambulance Service NHS Foundation Trust

Unit 7 & 8, Talisman Business Centre, Talisman Road, Bicester, Oxfordshire, OX26 6HR

Best Practice Guide to Investigations & Suspension -2019

DOCUMENT INFORMATION

Author:

HR Department

Consultation & Approval:

April 2011 Review

May 2011 Circulate to HRMs

January 2012 Final to PRG for information

This document replaces:

Best Practice Guidelines for Investigations 2008

Notification of Policy Release:

Intranet

Website

Date of Issue: March 2016

Reviewed: 2011/2016/2019

November 2022

Version: Final

HR POLICIES & PROCEDURES (HR/B07)

Best Practice Guide to Investigations & Suspension



Best Practice Guide to Investigations & Suspensions – 2019 1/8

BEST PRACTICE GUIDE TO INVESTIGATIONS

Contents Page

Section PAGE

1. Introduction 2

2. Appointing the Investigating Manager 2

3. Terms of Reference 3

4. Resources 4

5. Role Responsibilities f the Investigating Manager 4-5

6. Importance of thorough investigation 6

7. Timeframe 7

8. Planning the Investigation 8

9. Order of Interviews 9

10. Interviews – Preparation and Practice 9-11

11. MONITORING

12

APPENDICES

1. Guidance on dealing with suspension or restriction from practice

2. Terms of Reference – suggested template

3. Timeline – investigation

4. Timeline – incident

5. Investigation Interview Template

6. Template - Report of a Investigation




1. Introduction

1.1 SCAS believes that the vast majority of people who for work the Trust wish to provide the very best care they can, given the circumstances they are working in. A just and learning culture is the balance of fairness, justice, learning and taking responsibility for actions. It is not about seeking to blame the individual involved when care in the NHS goes wrong. It is also not about an absence of responsibility and accountable. It is also not just about safety, it is about how we treat each other every day.

This guidance is written to support the implementation of the following Trust policies and to support a just and learning culture within SCAS:

• Discipline & Conduct Policy

• Capability Policy

• Grievance Policy

• Dignity at Work Policy

1.2 This guidance is based on best practice and therefore will be used in conjunction with Trust policies to ensure fair, thorough and rigorous processes are implemented.

1.3 All actions should be understood before being judged and staff should be supported to learn from their actions. Where an investigation is deemed necessary and appropriate, these guidelines should be followed to ensure all investigations are conducted in a fair, consistent and appropriate manner, in line with our duty of candour. Deviation from this guidance will need to be justified.

1.4 The Trust wants to support a consistent, constructive and fair evaluation of any action of staff and particularly involving patient safety incidents, by encouraging conversations between managers and staff. It does not replace an investigation, as only a thorough investigation can identify any underlying cause that needs to be acted on to reduce the

risk of future incidents. NHS Resolution has also produced Being Fair, a just and learning culture for staff and patients following incidents in the NHS. NHS Improvements

have produced a Just Culture Guide - https://improvement.nhs.uk/resources/just-culture-guide

1.5 The Trust values of Teamwork, Caring, Professional and Innovation underpin everything we do to support our vision of saving lives and enabling patients to get the care they need. SCAS aims to nurture a healthy culture, based on all staff demonstrating their role-relevant values-based behaviours within their working lives. All staff are expected to model their behaviours to support SCAS with its strategic aims to become an Employer, Partner and Provider of Choice.

1.6 Over recent years there has been a concerted effort to make healthcare safer. In that

context it is important that learning is taken from situations where things do not go as planned so that changes can be made to help people work safely and to take steps to minimise potential risk and harm. It is therefore suggested that a review should be undertaken after an incident to establish the organisational learning can be identified

2. Appointing the Investigating Manager

2.1 The person conducting the investigation should not have been implicated or involved in any of the actions to be investigated. This does not mean they were unaware of the investigation (eg, in the case of a senior manager).

2.2 Consideration must be given to whether it is appropriate for the investigating manager

https://improvement.nhs.uk/resources/just-culture-guide/







for either grievance or disciplinary investigations, to be the immediate line manager of the individual(s) involved, taking into account the circumstances of the case/allegations being made,.

2.3 The investigator must have received relevant training or HR guidance in how to conduct an investigation, including reference to the legal framework behind it, and/or should possess demonstrable experience in conducting investigations.

2.4 The investigator must be aware of (or made aware of) the following:

• the open and honest culture of the Trust,

• the focus on investigating and understanding the incident first and how the allegations have arisen

• the relevant department/directorate/Trust organisational structure,

• issues of immediate relevance (ie, any previous personality clashes, proven allegations etc.),

2.5 The investigating officer must be provided with sufficient resources; eg, administrative support, meeting space and time. It may be necessary to temporarily remove them from their normal duties to ensure a thorough, fair, accurate and non-biased investigation takes place and this will need to be agreed with the relevant Head of Department/ Director.

3. Terms of Reference (TOR)

3.1 Terms of reference ensure that the focus of the investigation is appropriate and remains within clear parameters.

3.1.1 It may be necessary to amend the TOR during the investigation and, if so, the line manager, the HR professional and the investigator must all agree to it.

3.1.2 The staff member(s) and their union representative (if applicable) will also need to be provided with copies of the revised TOR.

3.2 Following consultation with HR, the Responsible Manager (a senior line manager or Head of Department) will produce terms of reference for the investigator. These are the aims and parameters of the investigation. The terms of reference are likely to include:

i) The name of the person who commissioned the investigation and report (usually the line manager of the subject of the investigation);

ii) the name of the investigator;

iii) the name of their HR representative;

iv) the allegations or issues to be investigated;

v) the proposed timeframe (this should be realistic and should include a provision for extension);

vi) the policy or policies (and, if applicable, procedures) under which the investigation is taking place;

vii) the purpose for which the report will be used;

viii) the people to whom copies of the report will be provided at the conclusion of the investigation.




4. Resources

4.1 Time:

4.1.1 The timescale of any investigation depends upon numerous factors such as:

• the complexity of the matter under investigation

• the availability of witnesses and relevant documents

• the level of experience of the investigator

• the seriousness of the allegation (if an individual has been suspended then the investigation needs completing as a matter of urgency.)

Section 7 explains the importance of setting timeframes from the outset and Appendices 3 & 4 provide templates. Investigations should be completed as quickly as possible and the aim should be to complete the whole process through to a hearing stage, when appropriate, within 12 weeks.

4.2 Administration

4.2.1 Support with note-taking; letter-writing; collation of documents; putting together of timelines, etc.

4.3 Information and Advice:

4.3.1 The investigator will need support from HR and the ‘responsible manager’ throughout the investigation. If possible, the investigator should obtain administrative support from their own department. Those providing administrative support must be advised of the need to maintain confidentiality at all times.

4.3.2 Chronological order is recommended for ease of reference throughout the investigation.

4.3.3 A report supplemented by evidence will need to be created and presented to the Responsible manager who has authorised the investigation. It is recommended the investigating manager create an indexed file to ensure that all information is easily accessible and can be cross-referenced where relevant points may support one particular fact of the case.

5. Role Responsibilities

Role of Responsible Manager (previously known as the Appointing Manager)

5.1 The Responsible Manager will ensure they have sufficient initial information about the case to make an appropriate judgement as to what level of investigation is required.

5.2 They will identify and appoint the investigating manager who will be someone who has not had any previous involvement in the situation to be investigated

5.3 They will ensure adequate support is in place for the person under investigation which would be a Welfare Officer under normal circumstances.




5.4 They will also ensure that anyone else involved in the case eg an alleged victim, also have adequate welfare support. This would normally be through their own line manager although there are circumstances where someone else would be more appropriate.

5.5 If there are any delays or deviation from the timescales agreed at the beginning of the investigation, the Responsible Manager will be responsible for ensuring that all parties are kept informed about the delays, the reasons for the delays and any new dates.

5.6 To ensure there is organisational learning from each situation, the Responsible Manager will have the responsibility of disseminating the learning appropriately and/or communicating it through the appropriate channel.

Role of the Investigating Manager

5.7 The investigating manager must be wholly impartial and investigate the whole incident without prejudice. All evidence gathered must be with the intention of building a complete picture; not to support the allegation made. It is not the remit of the investigating manager to either determine the level of disciplinary action to be taken if any, or issue any warnings, formal or informal.

5.8 The focus is on investigating and understanding the incident first and exactly what happened to get to a place of understanding. A full and thorough investigation into the incident or allegations must be undertaken and a comprehensive, robust and easily readable case-file prepared for the hearing.

5.9 During the course of the investigation the Investigating Manager should ensure that the process followed is:

• Balanced

• Objective

• Fair

5.10 The investigator should have access to documents that are marked as confidential and addressee only on an employee’s personal file and it is for him/her to decide whether they are relevant to the investigation.

Role of the Welfare Officer

5.11 As it is recognised that going through any formal investigation can be stressful, it is recommended that a Welfare Officer is appointed to support the member of staff directly involved in the incident/ allegation. This person will not become involved in the case but can provide personal support to their colleague which could involve liaising with the investigating manager

Role of the HR Representative

5.12 The HR representative will provide support, guidance and further advice in relation to all the issues in this booklet and the relevant employee relations issues, policy and procedure, and employment law implications for a particular case. They will provide guidance in ensuring that the investigation/preparation of case file complies with these requirements.

5.13 They can also act as a sounding board for considering issues that may arise during




the course of the investigation and to help maintain objectivity.

5.14 Although they will double-check and edit letters and documents, they do not provide administrative support.

6. Importance of thorough investigation

The case below shows that, to support any action that needs to be taken by a disciplinary

hearing panel, an investigation must be thorough.

This case has created a precedent regarding the level of investigation undertaken by an employer and considered by an employment tribunal. There are cases where the quality of the

investigation has been severely criticised and has impacted on the final outcomes. Even where the employee admits an act of gross misconduct, it is incumbent on the employer to carry out a reasonable, impartial investigation, which includes further investigation into any issues raised in the disciplinary hearing or appeal, to justify the penalty imposed.

6.1 It is not uncommon for appeals to be upheld due to a failure to properly follow process.

6.2 All mitigating factors must be identified and taken into account and the possible involvement of others considered, too.

6.3 In detail, the investigating manager must,

• Document the process of the investigation (see 7.1).

• Agree a timeframe at the outset of the investigation and stick to it in accordance with the relevant policy.

Case Study: British Home Stores vs Burchell (1978) IRLR379

The employee, Ms Burchell was dismissed for her involvement in allegedly dishonest staff purchases. This followed an incident where she had charged another member of staff for a pair of expensive sunglasses at a cost of some less expensive ones, and where the employer’s investigation had resulted in her being implicated by the other employee. The Tribunal held that the dismissal was unfair as the employer had failed to confront both the employees together and observe each other’s reaction to each other’s account of the incident; and also, because the company’s security officer had admitted that the company did not have sufficient evidence to prosecute the employee.

The Employment Appeal Tribunal reversed the decision stating that the correct test was to decide whether:

1. the employer had established a genuine belief in the employee’s guilt;

2. there were reasonable grounds on which to sustain this;

3. the employer carried out as much investigation into the matter as was reasonable in all the circumstances.

It was not appropriate to examine the evidence in a criminal context to assess whether it put the matter beyond all reasonable doubt.




• Ensure that all parties involved are aware of the requirement to maintain confidentiality throughout the process of the investigation, and are aware of potential consequences of not adhering to this.

• Identify all relevant witnesses – at the outset and/or from subsequent interviews

• Interview all individuals who can positively contribute to the facts of the case without interviewing everyone just in case. (It may be useful to identify the relationships between the employee and witnesses; ie, if there are any personal relationships this may impact upon the information provided).

• Devise pertinent questions to be answered by those who will be interviewed during the investigation.

• Discover any documentation which supports or challenges the allegations that have been made and, at the earliest stage possible, gather, collate and evaluate it. Documentation could include:

Relevant policies and procedures

Emails and other correspondence

Notes of meetings and telephone calls

Shift records, etc

Contracts

Training records

Diary entries

6.4 Track down CCTV footage and electronic evidence (eg, intranet usage/ Terrafix reports, records of phone calls etc; use IT as a resource). Privacy and data protection issues should be discussed with the HR representative and IT authorisation may be required.

6.5 Make individuals aware of their right to be accompanied by a trade union representative or work colleague in accordance with ACAS guidelines.

6.6 When an investigation is completed and the investigation manager is required to present their report at a hearing, the main management case should be summarised and relevant appendices referred to during the management presentation. It is important to remember that any appendices that are pertinent to the case must be highlighted, discussed and contextualised in order to bring this evidence ‘to life’ as the panel would not routinely have read all appendices prior to the hearing. Please refer to sections 8 and 11 of the Best Practice Guide to Formal Hearings and Appeals for further guidance

7 Setting a Timeframe

7.1 Time Lines are very useful tools and it’s worth creating two: one for the case and one for the investigation. See appendices 3 and 4 for examples of timelines.

7.1.1. Case: A timeline of the case shows the chronology of the actual incident which led to the investigation and how events and incidents interact. It gives a visual prompt to help simplify a complex situation.

7.1.2 Investigation: An investigation timeline is crucial for explaining delays in the process. It shows the chronology of actions (meetings; letters sent out; matters




that could cause delay – such as annual leave; sick leave; training, etc), which occurred throughout the course of the situation and can be a very useful tool for demonstrating that the investigation was technically robust; especially when unnecessary delay is alleged.

7.2 The investigation must be completed in as short a time as possible for a number of reasons:

Employee welfare

• Trust policies have clear timescales and deviations from these without good reason place the Trust in breach of its own policies and procedures (see s5.5/6).

There are associated costs to the Trust in terms of loss of productivity for

• the investigating manager as they undertake the investigation;

• witnesses called to meetings/ hearings;

• employees directly affected;

• each day an employee spends on suspension along with additional costs for covering the absent employee.

7.2.2. It is traumatic for the individual under investigation to go through this process being uncertain of the outcome and the potential implications for their employment with the Trust. This especially applies if the individual concerned has been suspended.

7.2.3. Such investigations can be disruptive for the department that is affected and cause issues for morale; they may even affect retention rates if they become protracted and lose purpose.

7.2.4. There is a danger of delays becoming self-perpetuating: initial delays can affect the outcome of the investigation as it becomes more difficult to determine the facts. Ultimately, this can hinder the application of appropriate action.

7.3 Only in exceptional circumstances should the timescale be allowed to breach; for example, in the event of:

• extended absence/non-availability of one of the key parties;

• additional evidence coming to light which may require further investigation;

• the Trust facing exceptional pressures which may involve the Business Continuity Policy being invoked;

These examples are not exhaustive.

8. Planning the Investigation

8.1. The investigating manager should immediately discuss with their line manager/Head of Department the likely impact on their existing workload and agree the required amount of protected time. It is useful if the manager can identify additional support for their existing




workload; however, this is not always possible.

8.2 They should contact and meet with their HR representative to plan and undertake the following tasks:

• Identify everyone to be involved in the case in terms of support and panels;

• Begin the investigation timeline.

• Contact the subject of the case to introduce themselves as the investigating manager and inform them of the terms of reference of the investigation;

• Arrange interviews immediately – plan all meetings right up to the hearing date if possible. A minimum of 5 calendar days notice should be provided for investigation interviews.

• Identify how they will gather the information they need and who can support them to obtain that.

• Identify any potential delays from the outset and put steps in place to overcome them.

• Discuss and agree the timescale with the subject of the investigation or their representative (but ensure that all unforeseen delays are communicated to the individual as well).

8.3 All employees are contractually required to comply with Trust policies; therefore, they have no option but to participate in management enquiries when requested to. A failure to co-operate will be documented and this in itself will form part of the evidence.

8.4 Book time to write the investigation report at the end of the process, allowing sufficient time to consult with Human Resources and make any necessary amendments.

8.5 Agree a deadline for the Responsible Manager to receive the report.

8.6 Working to a structure like this will help ensure that the investigative process is given the priority it requires.

9. Order of Interviews

9.1 The subject of the investigation should be interviewed first so that there is a clear account (second version of events) to be questioned against; however, it is likely that a number of further questions will arise during the investigation for that person and that they may have to be interviewed again at the end.

9.2 In some cases, it will be obvious who needs to be interviewed but, in other cases, names will suggest themselves as the investigation proceeds – it is a good idea to ask the question during each interview.

9.3 Interviews with those most material to the incident should take place first and then in order of decreasing significance.

10. Interviews – Preparation and Practice

10.1 It is essential to be thoroughly prepared for all investigation meetings.

10.2 Consider whether it would be useful for the individual to provide a statement prior to the interview (although this is not always possible) as this can help to prepare questions that will need to be asked at interview. (If the investigation to be conducted may be a lengthy




process, it may not be feasible to do this as it can also add delays to the investigation).

10.2.1 Explain that the employee also has the right to have their statement viewed by their union representative before submission.

10.2.2 Employees have the right to be accompanied by a work colleague or union representative at investigation meetings, although they would not be able to answer questions directed to the employee.

10.2.3 Ensure that all statements to be submitted as part of the final report, are signed and dated by the person giving the statement. This can be physically signed or electronically confirmed via email.

10.2.4 Equally, if it is not going to be possible to carry out a face-to-face interview, a statement can be accepted – consisting of a set of answers to written questions.

10.3 The investigating manager should work closely with the HR representative when devising questions; they should be written purely to establish the facts, and directly connected to the allegations.

10.3.1 Specifically, the investigating manager should:

• Feel able to ask direct questions to determine place or responsibility;

• Use open questions to encourage a full response when trying to establish details or clarify any issues;

• Avoid leading questions as they must not just be completely impartial, but be seen to be, too;

• Avoid questions which may only elicit yes/no answers when detail is required;

• Keep questions simple and avoid questions within questions, which may cause confusion and mean that accurate answers may not result;

10.4 Right to be Accompanied All employees must be made aware of their right to be accompanied by a representative of an accredited trade union or a colleague not acting in a professional capacity (this includes formal investigation interviews). This should be made clear to them in the correspondence informing them of the need for the investigation and in any subsequent letters sent requesting their presence at an investigation interview.

10.5 The Interview:

10.5.1 As general points, the investigating manager or HR representative should:

a) introduce all present at the meeting and explain what their role will be (HR representative, Union representative, minute-taker etc);

b) if the subject of the interview is unaccompanied but is entitled to be, ascertain that they are were aware of this right and that they are happy to proceed without a companion;

c) make clear that confidentiality must be maintained and the matter discussed only with those identified (eg, Investigating Officer, HR representative, union representative; the subject of the investigation and the witnesses should not discuss the matter);

d) make clear to the subject of the investigation what the issues or allegations are; based on what was included in the invitations to interview;




e) make clear to witnesses, when interviewed, what questions ultimately relate to and the importance of as full a response as possible;

f) explain that comprehensive notes of the meeting will be taken and a copy sent to them to sign and date as a true record of the meeting or to amend as necessary; they may also write additional notes which would be appended to the notes; these should also be signed and dated;

g) explain the process of the investigation; discussing timescales where they have been set;

h) explain how the facts of the situation are being gathered and used to complete a report, which will be submitted to the Responsible Manager;

i) those being interviewed must also be told:

• who will receive the report

• what could happen as a result of the investigation

• how the organisation will protect them in terms of confidentiality and whistleblowing

• what processes they can follow if they are being harassed or victimised as a result of making a witness statement

• that harassing or victimising an individual is potentially an act of gross misconduct and may be sufficiently serious to lead to dismissal.

10.5.2 More specifically, the investigating manager and/or HR representative will

a) discuss the issues and/or allegations and refer to any existing evidence that supports this;

b) present any documentation that supports the issue/allegation (complaint letter, training records, bank usage figures etc);

c) ask the individual to start by telling you what they recall about the situation and then ask supplementary questions to clarify points and to probe the responses you are given;

d) address all the issues that are relevant and ask direct questions where necessary (ie, “Did you…?”). Although some situations may be extremely sensitive or embarrassing, it is important that this does not impede the thoroughness of the investigation;

e) at the end of the meeting, reiterate the points about confidentiality and what will happen next and let the individual know that they may be required to attend a further interview or the hearing.

10.6 Note that, while reluctant witnesses should be encouraged to participate in order to build up as clear and full a picture of events as possible, they should not be coerced.

10.7 Witnesses making statements should understand that, although confidential, their statement will not remain anonymous (unless very exceptional circumstances prevail); will form part of the case report and that they may be required to attend a Hearing at a later stage.




11. MONITORING

11.1 Monitoring of this guidance will occur at both local levels by line managers/supervisors/ investigation officers/HR Teams and also at a Trust-wide level via the Employee Assistance Programme, Occupational Health Providers and Staff Consultation/Survey’s.

11.2 In advance of the review date, the HR team will review and produce recommendations which will be shared via the recognised policy approval process (HR Policy Review Group) in time for the review date. An early review can be triggered by the Trust Board, HR or joint staff side if they have serious concerns about the guidance or its implementation.



Best Practice Guide to Investigations – 2019

Guidance on dealing with suspension or restriction from practice

1. Introduction The Trust recognises that occasions arise when it is necessary to suspend an employee from work. In some circumstances, partial restriction from duty would be the appropriate step. Stand down of an employee from their duties may take place prior to suspension. This guidance is to ensure each case is carefully considered before action is taken and that any step taken is appropriate and proportionate.

Any employee who has been suspended must be treated with care and consideration and be provided with adequate support during any period of suspension.

Suspension is intended to be a neutral action and in certain circumstances can be taken as a protective measure. Whenever suspension is being considered, advice should be sought from the HR department or if out of standard office hour, at the earliest opportunity. Suspension should never be considered to be an indication or presumption that the employee has done anything wrong. Neither should it be an automatic response when dealing with a potential disciplinary matter. Most disciplinary matters will not require suspension. To support a decision to suspend, a suspension risk assessment should be undertaken. A record of the rationale and details of the stand down/suspension/partial restriction from duty should be made. This assessment will take into account the situation with regard to any other primary or secondary external employment.

During a period of suspension, the individual must not undertake work of any kind (paid or unpaid) for any other organisation during hours for which they are contracted to work for the Trust. Should the individual have work commitments which would normally take place outside of the individuals SCAS contracted hours, the employee will be advised they must advise the other organisation. It is also their responsibility to advise their regularity body such as NMC, HCPC, when appropriate. Any incident involving Patient Safety it would be advisable to refer to the NHSI ‘A Just Culture Guide’ to ensure a consistent, constructive and fair evaluation of the actions of staff involved in such an incident. (See Appendix 7)

2. When is suspension appropriate?

In instances of potential gross or serious misconduct, the manager may wish to consider suspending an employee who is being investigated. This may be appropriate when:

1. There is a potential risk to the organisation, the employee or another employee, patients,

public or property

2. It is not possible to investigate the allegation if the employee remains at work, for example,

because they may tamper with evidence or attempt to influence witnesses

3. Relationships at work have severely broken down and in turn this could impact on the ability

to ensure a fair and thorough investigation.

4. The employee is the subject of criminal proceedings which may affect whether they can

carry out their job

In some cases it may also be appropriate to suspend an employee for medical reasons.

This will normally be for a short period of time to allow medical advice to be obtained.

Appendix 1




Where an allegation involves a vulnerable adult or a child, manager should read the appropriate guidance (Safeguarding Adults or Safeguarding Children Policies and act accordingly

3. Consider alternatives to suspension

The suspension of an employee has a large impact on both the organisation and the employee and therefore the decision to suspend must be well thought through. Where suspension is being considered, the suspending manager should consider the following alternatives:

• Where working relationships have seriously broken down, consider putting measures in

place to limit the interactions between the two parties eg a temporary transfer to a

different team, an adjustment to rota etc. while the investigation is carried out.

• Working under supervision/closer supervision

• Restrictions to practice

• A temporary transfer to a different department of work or role within the organisation

When exploring alternative to suspension the manager may consider whether placing

restrictions on the employee’s practice would be sufficient to facilitate a return to duty, for

example

• Administering drugs

• Performing certain procedures/duties

• Working with certain groups of patients

Only when all other options are not appropriate should suspension be carried out. 4. Factors to take into account

Suspension can have a detrimental effect on the employee’s wellbeing and reputation. It is

therefore important that the employee’s confidentiality be maintained. The manager should

give careful thought to how the employee’s absence should be explained to colleagues

which will be restricted and on a need to know basis .

The suspending manager will consider and action the following:

• Rescind IT access

• Exclude the employee from the usual workplace

• Ask the employee not to contact other members of staff during the investigation

• Ask the employee to hand in any or all Trust equipment or property

5. Who can suspend?

The authority to suspend is with the Duty Manager at the time of suspension. However, they must obtain advice from an appropriate member of the HR team and/or the appropriate Senior Manager before making the decision to suspend. If advice is not readily available, the manager must request the employee to go home and return to work the next day so suspension can formally be confirmed, after HR advice has been obtained. The suspending manager is responsible for notifying Payroll, Head of Department and the HR Manager as soon as possible.




6. How the employee should be suspended

Suspension will be carried out by the most appropriate manager at the time and will take

place as soon as possible after an incident has come to light and after a suspension risk

assessment has been undertaken.

At the meeting the employee will be informed of the:

• Reason for the suspension, what will happen next and the likely length of the suspension

• The purpose of the suspension is in order to investigate and no an indication of guilt

• Their obligations during the suspension should be explained, for example, remaining

available for contact/meetings, consideration of work for another organisation, any

restrictions placed on them about contact with other employees (other than with their union

representative)

• An agreed point of contact, time and method of contact, taking into consideration any other

paid employment they may have.

• a welfare officer/contact

• When the suspension will be reviewed and how they will be kept updated/informed

• Their right to be accompanied to be accompanied to formal meetings

7. Pay / Leave during Suspension

An employee who is suspended (or temporarily redeployed in lieu of suspension) will be

paid at their basic rate of pay, including an average of allowances in the 12 weeks’ earnings

prior to the suspension. An ESR variation form will need to be completed by the manager

and sent to payroll confirming the above.

If the employee is unable to attend work due to illness, sick pay will be paid in accordance

with the Trust Sickness Management Policy and fit notes will be required.

If the employee has pre-booked annual leave during a period of suspension this will not be

affected by the suspension and will continue as planned. A request for annual leave that is

not pre-booked must be agreed with the investigating officer and line manager and will be

considered on a case by case basis.

If suspension has occurred because the employee has allowed their professional

registration to lapse, they will be paid in line with an unqualified role for a short period of

time to enable them to sort out their professional registration. An ESR variation form should

be completed by the manager to confirm this and sent to HR

8. Review of Suspension

Periods of suspension should be for as short a period as possible. However, the length of a

suspension could vary and therefore should be reviewed by the suspending manager and

HR every 14 days. This is to ensure that circumstances have not changed and suspension

is still appropriate, taking into account the original suspension risk assessment. Ordinarily

this will be confirmed in writing to the employee every two week. In some cases it may be

appropriate to extend this review period.




Appendix 2

Template

TERMS OF REFERENCE

Type of Investigation

Questions Name/Answer Comments

Responsible Manager:

Investigating Officer:

Allegations or issues to be investigated: Date(s) of incident:

Start date of investigation:

Timeframe:

Proposed hearing date:

Policy under which the investigation is taking place:

State name of policy (policies)

Has a suspension risk assessment been done?

Is there a suspension /restriction/alternative in place?

Date suspension started

Purpose for which the report will be used:

1. To determine whether there is a basis in fact for the allegations and if so to determine whether SCAS policies above have been infringed.

2. If required, to inform a statement of case to be heard at a formal hearing so the Responsible Manager can determine what action is appropriate in line with the policy.

Whom copies of the report will be provided to at conclusion of investigation:?

Responsible Manager -

Redacted as necessary according to the recipient.

How will report be stored:

In line with HR process

Union representative: As determined by Staff concerned

Witness Statements 1






Timeline template – 1, investigation

TIMELINE OF INVESTIGATION

Grievance/disciplinary/capability/dignity at work/sickness– Name

DATE EVENT COMMENTS GENERAL NOTES

Grievance received (in writing) by give some details, names, impact on investigation – not connected to dates/events but, for

Response sent (AB) especially in terms of delays instance, that a certain witness only works

Witness meeting - - 13.00 3 days a week… etc

Phonecall

Email

Absence – holiday, sickness, training course, etc

and so on…

Report finalised and sent to RM From

Meeting re report (who) Discussed and agreed way forward.

Appeal Hearing (if)

Debrief

Appendix 3




Timeline template – 2, incident

SUMMARY TIMELINE OF INCIDENT

Grievance/disciplinary/capability/dignity at work/long-term sick – Name

Contact Information:

DATE EVENT COMMENTS GENERAL NOTES

Appendix 4




Appendix 5

Template to start and end investigation interview

Intro

For the purposes of the record, this interview is being held at …(location)…..on ……..(date) at…(time) Notes will be made of the interview (not verbatim) that you will be required to check and sign as a record of the meeting. Do you understand ?

For the purposes of the record, the people present are myself, ~~~~~~~~~~~ as Investigating Manager, ~~~~~~~~~~~ as HR Advisor, ~~~~~~~~~~~ and ~~~~~~~~~~~ (each person present should then give their name and position/role within the investigation) Check Representation/ support by a work colleague, a trade union representative, – happy to continue with this support? TU/work colleague cannot answer for you in an interview.

Social & Environment Issues

Phones etc. off please Comfort breaks – both sides (check that people are aware what this means) In the event of a fire alarm – follow the fire marshal and progress towards the fire assembly point. We are/are not expecting a routine fire alarm check today

Role

My role is to gather the facts, issues, and the evidence from witnesses and to complete a report to the responsible manager who is ~~~~~~~~~~~. The process of the meeting – I will ask questions, you (staff member) will have opportunity at the end to ask questions etc.

Caution

his interview has been arranged as part of an investigation into the alleged actions of ……(details of party being investigated with brief outline of investigation plus date(s) time(s) and incident numbers as appropriate)………….. I must remind you that you are obliged under the terms of your employment to assist in any Trust investigation, giving honest answers to any questions and that not to do so could make you liable to disciplinary action which could result in your dismissal from the Trust. Do you understand this? This interview is not a formal hearing. Any evidence you give may not remain anonymous, unless previously agreed and could result in you or that evidence being required at a later hearing, if one is required. The Police service may also receive full disclosure should this be required as part of any criminal investigation. Do you understand this? Required for individuals under investigation who are registrants– not witnesses) If suspended or restriction placed on your practice by any registrant body then, if you have not already done so, I must remind you of the requirements of your professional registrant body and the potential need to self refer, if necessary, in line with its code of conduct. For an investigation including gross misconduct, you may choose to tell your registrant body about this matter. If you do, they will review this concern in the same way as any other self-referral or other fitness to practise




matter. If you are not sure whether you should make a self-referral, speak to your registrant body or your union representative for advice. It is preferable to self-refer, however if you do not do this, and the Trust considers that this should be done, then the Trust will do so, after allowing you a short period of time to do so. Do you understand? Have you made, or do you intend to make, a self-referral?

MAIN INTERVIEW AND QUESTIONS TAKES PLACE

The questions in this section will be individual to the issue being investigated

Closing

Is there anything else you would like to add, that I have not questioned you about, but you feel it may be important to this investigation or any other information that you would like to bring to my attention?

Is the information that you have given in this interview correct, to the best of your knowledge?

In your opinion has this interview been conducted in a fair and equitable manner?

I remind you that you must not, under any circumstances, discuss these particular matters, or this investigation, with any member of Trust staff or any party connected with the case or anyone else other than the Investigating Manager, ~~~~~~~~~~~ from HR, your nominated welfare officer, or your union representative. Failure to comply with this instruction will instigate disciplinary action against you and could result in your dismissal from the Trust. The exception to this is self-evidently the Police service or any legal representation appointed by or for you, should any civil or criminal matters be progressed. Do you understand this?




Appendix 6

REPORT OF AN INVESTIGATION

INTO ALLEGATIONS OF MISCONDUCT

BY AN EMPLOYEE OF

SOUTH CENTRAL AMBULANCE SERVICE NHS TRUST

Investigating Manager: Name, Job Title, Location

HR support: Name, HR Representative

Responsible/Authorised Manager Name, Job title, Location

Admin support ***, (note-taker)

Template – Front sheet for the investigation report




Contents

Investigation Report Page

1. Introduction 3

2. Executive Summary 3

3. Main Report 4

4. Conclusions and Recommendations

Appendices:

1. Discipline & Conduct Policy

2. Job description, job title

3. Timeline of Case

4. Timeline of Incident, etc

5. Interview Notes, [subject of case]

6. Interview Notes, [Supervising manager/team leader]

7. Interview Notes, AN Other

8. Written Q&A – if not possible to interview in person

9. Other key documents (PDR etc)

10. Induction Checklist

11. Relevant Training Record,

12. Relevant Incident/Accident Report Forms

13. Standard correspondence relating to case

14. Anything else that is relevant to the case

Supporting documentation - eg policies, contracts, training records, meeting minutes, any proof of what’s been said.




Introduction

As a senior manager within South Central Ambulance Service, I was appointed Investigating Manager and asked to carry out an investigation into allegations of misconduct by an employee of the Trust. My remit was to carry out a full and robust investigation involving all relevant employees and any underpinning documentation in order to produce a report for the designated manager, name. The report is now forwarded to the designated manager for consideration whereupon a decision will be made.

The purpose of this investigation, which is being carried out under the xxxx policy, is to provide the necessary facts surrounding the allegations, and recommendations based on these facts, in order for a decision to be taken whether to proceed to a formal hearing or to dismiss the case on the grounds of insufficient evidence.

Executive Summary

The subject of this investigation, name, worked as a Band [band and job title] within the **** Department in location, SCAS.

Summarise the background and allegations, followed by the action that has been taken [methodology] to ensure the investigation has been thorough. Eg, talking to HR, ensuring minimum delay; witnesses interviewed, written submissions and what has been learnt from them – in summary!

Then explain the layout of this report – ie, that interview summaries follow and then what the appendices are.

Terms of Reference

TOR 1

Present the findings and information from the investigation that answers the TOR point and state where the detail (interview, evidence) can be found in the appendices – give clear references. Explain – with evidence – whether it was firsthand conversation or observation, as opposed to hearsay or speculation. Advise if there has been a breach in policy.

Repeat for however many TORs there are.

Conclusions

This report is now ready to forward to the designated manager, name, job title, with the following conclusions:

TOR 1

Summarise your findings from above for each ToR and finish by explaining whether you have concluded there has been a breach in policy,




Documents

Best Practice Guide to Investigations & Suspension · Best Practice Guide to Investigations & Suspensions – 2019 2/8 1. Introduction 1.1 SCAS believes that the vast majority of