Staff investigations – A Guide for Managers and staff

Introduction Organisation of Internal Investigations How to refer a case for investigation Deciding whether to conduct a formal investigation During a formal investigation Interview Arrangements Conclusion of the investigation List of Appendices Appendix 1: Circumstances appropriate for staff investigation Appendix 2 – Investigations: Overview of Process Appendix 3 – Internal Investigations Managers’ Contact Details Appendix 4: Staff Investigation Referral Form Appendix 5 – Investigatory Interview Invitation Letter (Appendix 16) Appendix 6 - Your Rights at an Investigatory Interview Appendix 7 - Recording of Investigatory Interviews Appendix 8 – Investigatory Interview Invite Letter (Witness) Appendix 9 – Decision Makers Guidance Appendix 10 – Investigation Closure Letter (Appendix 36) Appendix 11: Staff Investigation Form Appendix 12 - Code of Conduct and Good Practice for Investigators

Introduction

Who should read this guide? 1. This document is useful for:

• any member of staff, and • managers

involved in investigations where there are suspicions of internal fraud or related abuse. It explains the process that will normally be followed in:

• setting up, • handling, and • managing investigations.

2. It is only a general overview and particular arrangements may vary

depending on local circumstances or the individual case.

3. The Departmental Trade Union Side has been consulted about the contents of this Guide and employees’ rights have been reinforced within the process.

Why do we need investigations? 4. The Department for Work and Pensions (DWP) has a duty to protect

public funds and treats fraud very seriously. Fraud and abuse is damaging to the public perception of DWP. The DWP Accounting Officer has undertaken to ensure that all cases of fraud or attempted fraud against the Department will be thoroughly and promptly investigated.

5. DWP has a variety of measures in place to prevent, deter and detect fraud and abuse. Investigations form an essential part of the security management process.

What is an investigation? 6. An investigation is a formal inquiry into an incident or series of suspected

incidents of fraud, dishonesty or other serious wrongdoing. The types of incident that fall into these categories are contained within Appendix 1.

Who carries out formal investigations? 7. Internal Investigations, part of the DWP Finance Group, is responsible for

conducting formal investigations under DWP’s Disciplinary Procedures into suspicions of internal fraud or related abuse by DWP members of staff or the staff of contractors. These investigations are conducted on behalf of management in nearly all the business areas of DWP. The flowchart in Appendix 2 gives an overview of the process.

Co-operation with investigations 8. When conducting investigations, Internal Investigations are granted

unrestricted access to Departmental: • activities • records • property and • personnel.

9. Members of staff are required to co-operate with Investigators.

10. When requested, Departmental Managers will be expected to:

• allow access to/provide any necessary records/documentation in connection with an investigation and

• make suitable facilities available for interviews.

The role of investigations in the DWP disciplinary process 11. On completion of an investigation into suspicions of fraud, dishonesty or

wrongdoing by DWP staff, Internal Investigations will forward a report of the findings to the relevant Decision Maker (HR Business Partner for CMG/CSA). Where there is a case to answer, the Decision Maker will carry out a disciplinary meeting with the employee and will then make a disciplinary decision based on the information/evidence provided. The

Decision Maker will notify both the individual under investigation and Internal Investigations of the outcome.

12. Managers must follow procedural requirements, guidance and advice provided in DWP's Discipline Policy & Procedures which can be found on the DWP Intranet.

Standard of Investigations 13. Investigations into suspicions of staff fraud will be conducted:

• to a high and professional standard; • in accordance with the law and relevant DWP policies; • by trained and accredited Investigators and managers.

14. Internal Investigators and managers are expected to comply with DWP's

Standards of Behaviour Policy and the Civil Service Code and demonstrate high levels of:

• propriety, • honesty, and • integrity.

15. Investigators must demonstrate fairness and objectivity when:

• conducting investigations, and • completing reports.

16. They will provide services in a manner which is consistent with:

• DWP's Values and Behaviours, • DWP's Diversity and Equality policy, • Internal Investigations Code of Conduct and Good Practice for

Investigators.

17. You should contact the relevant Internal Investigations Manager if you have any concerns about the:

• conduct of an investigation, or • behaviour of an Investigator.

18. If you remain dissatisfied with the conduct of an investigation you should

raise your concerns with the Internal Investigations Policy & Professional Standards Manager..

Maintenance of this guidance 19. This guide will be updated regularly by the Internal Investigations Policy &

Professional Standards Team, following consultation with the Departmental Trade Union Side. All users are encouraged to provide feedback where you think improvements can be made. Contact Internal Investigations Policy & Professional Standards or send your comments by email.

Organisation of Internal Investigations 20. Internal Investigations has 3 Sectors covering:

• Scotland, North West England and North East England (except South Yorkshire, West Yorkshire Districts);

• Central England, Wales, North East England (South Yorkshire, West Yorkshire Districts only);

• London and Home Counties and Southern England

21. Each Sector is staffed by a number of Investigators and led by an SEO/Band E Internal Investigations Manager.

22. Internal Investigations also has the following:

• Intelligence-Led Team (Intel); • Central Referral and Allocation Team (CRAT); • Policy & Professional Standards Team (P&PS).

23. Each of these is led by an SEO/Band E Investigations Manager 24. All Internal Investigations Managers will:

• ensure that a professional service is delivered by trained and accredited Investigators (and managers);

• liaise with the appropriate business, CS HR Casework and HR managers across the range of Departmental business. The Internal Investigations Manager will notify relevant senior business managers (or nominated points of contact) of significant investigations or investigation findings that may impact upon business delivery. It is essential that the necessary independence and impartiality of Internal Investigations and Decision Makers are upheld;

• offer support and guidance to business managers in order to help identify and prevent fraud and other irregularities ;

• provide important management information about areas of risk within each business and across the whole of the DWP.

Guidance and support 25. Managers at all levels are encouraged to look at the Information for

managers fact sheet and when necessary, seek advice and guidance from:

• Internal Investigations Intel Manager, or • Internal Investigations CRAT, or • the Internal Investigations Manager for their location

26. To help them identify Internal Fraud and Abuse Common Threat Areas and minimise risks to their business. Internal Investigations will be proactive in:

• giving advice, and • spreading good practice - on a day-to-day basis and through talks

and presentations.

Security Contacts 27. Everyone in the Department has access to security advice and support

(through the Operational Security Team, or for some, corporate staff security support based in your business). Your security contacts:

• are responsible for performing specific key security functions which enables the DWP to meet wider Government security standards;

• can provide advice and guidance to managers and staff on various aspects of security related issues;

• can support managers where there is suspicion of possible abuse of computer systems; including advice on the provision of audit trail information.

28. More detail on this role can be found on the Security portal on the

Intranet.

Electronic Investigations 29. If a manager suspects that a member of staff is in breach of the Electronic

Media Policy in their use of official email or internet access they can make a request to Internal Investigations for an Electronic Investigation.

How to refer a case for investigation 30. Cases may be raised directly with Internal Investigations from a variety of

sources including: • Members of staff (including the staff of contractors) • District and Business Managers • District or other Security Contacts • HR Business Partners • CS HR Casework • Members of the public • Jobcentre Plus (JCP) Fraud & Error Service (FES) • CMG Fraud Investigators • National Benefit Fraud Hotline • DWP’s Whistleblowers’ Hotline • Other Government Departments and Agencies • Any other person/organisation (internal or external) identifying

possible internal fraud within DWP.

31. Referrals for investigations are managed by Internal Investigations Central Referral and Allocation Team (CRAT). The Internal Investigations pages on the Intranet have more detailed information on how to refer a

case. If a manager is unsure whether to refer the case for investigation, they should contact CRAT for advice.

32. Appendix 1 shows a list of the broad types of circumstances that CRAT

will consider for investigation. Each case is considered carefully and will only be accepted when an investigation is considered to be a proportionate response to the matter under suspicion.

33. When a manager becomes aware that a member of staff may have

breached DWP Standards of Behaviour, the manager should: • refer to DWP Disciplinary Procedures; • resist the temptation to interview a member of staff straight away to

find out what happened. Such action may deny an individual their rights of representation etc, and could compromise any subsequent investigation as well as hinder any resulting disciplinary action;

• when necessary, seek advice from line management and/or ring for expert HR advice on the action to be taken;

• where it is thought the breach is serious enough that an internal investigation may be appropriate you can contact CRAT for advice.

34. The online Investigations, along with any relevant documentation. This

form provides important information for Internal Investigations to set investigations up quickly.

Deciding whether to conduct a formal investigation 35. When CRAT receives a referral they will undertake an initial assessment

and decide whether Internal Investigations will: • undertake further more detailed enquiries in order to determine

whether a full investigation is required, or • not accept the case for investigation.

36. This initial decision will normally be made within 5 days of the referral being received.

When a referral is not accepted for investigation 37. When CRAT consider that the case is not appropriate for a formal

investigation, e.g. it does not meet the Internal Investigations Specification, or it is thought that local managers can deal with the case, they will:

• advise the referrer and, if appropriate, the relevant manager; • give full reasons for the decision; • if appropriate, give advice and guidance on how the matter or

concerns might be resolved. This explanation will normally be given verbally and followed up with an email, if required.

Referral to another Agency 38. When CRAT consider that another agency should conduct the

investigation, they will refer the case to that Authority without delay. For example:

• Benefit Fraud to FES; • Tax Credit fraud to HM Revenue and Customs (HMRC); and • Council Tax fraud to the relevant Local Authority.

Resolving disagreements 39. If there is any disagreement over CRAT’s decision the CRAT Manager

will try to resolve it in the first instance. If agreement cannot be reached the issue will be referred to an Internal Investigations Senior Manager or the Internal Investigations Policy and Professional Standards Manager who will decide on the matter.

When a referral is accepted for investigation 40. CRAT will accept a referral for investigation when the matter goes beyond

a trivial issue and there is clear evidence or information supporting a suspicion of:

• dishonesty • theft • fraud • serious abuse of IT systems • serious irregularity or breaches of DWP Standards of Behaviour

(see Appendix 1 for a more comprehensive list of likely scenarios)

41. The overarching criteria for authorising further enquiries are: • there is Prima Facie evidence of wrongdoing and grounds to

require an individual to explain or account for their actions; • the allegation requires enquiries and actions to be undertaken by a

specialist investigative resource to establish the facts, for example - gather evidence, undertake investigative interview(s);

• the nature and extent of the person’s behaviour may have had a material impact upon or harm DWP, its reputation, its funds or its customers.

42. Additional criteria to be considered are:

• If a full investigation is Proportionate to the offence; • If the nature/extent/impact of the offence justifies the Cost of an

investigation; • If an investigation is actually Viable and a clear outcome is likely;

and

• If an investigation will add Value.

43. Internal Investigations normally deals with cases which are likely to fall within the gross or serious misconduct categories. In less serious cases CRAT will consider whether line management could deal with the matter without the need for further enquiries or a formal investigation.

44. When CRAT accept a case for further enquiries they will:

• allocate it to an appropriate Internal Investigator, normally of HEO grade/Band D. (Further resources may be allocated where the scope of the investigation may be extensive);

• notify the Investigator and the relevant Investigations Manager; • if appropriate, notify the referrer.

45. The Internal Investigations Manager will, when appropriate, inform the Senior Business Manager. For example, if there are any serious or significant investigations or findings that may impact upon business delivery or attract media attention; and

Sensitive cases 46. When an investigation may attract media attention, the Internal

Investigations Manager will help to provide briefings to senior management. The senior Business Manager will be responsible for advising:

• their respective Chief Executive/Business Head, • the Director of Human Resources, • DWP Press Office, • Ministers.

During a formal investigation

Support from Internal Audit staff 47. Internal Audit and Investigations provides an independent assurance to

Management that risks are being adequately managed to ensure the effective and efficient achievement of business objectives. Internal Investigations Managers will consult with Internal Audit when for example:

• serious weaknesses in internal controls are identified; • Accounting Officer issues arise, for example, where there is an

identified significant loss to public funds; • significant risks to the achievement of business objectives are

identified.

48. Reports on procedural and control weaknesses identified during the course of investigations will be routinely shared with Internal Audit.

Other specialist involvement 49. In some cases Internal Investigations will work directly with FES or the

Child Maintenance Group. A joint investigation of this type would be appropriate, for example, in cases of suspected benefit fraud where there is some aggravating factor involving a member of staff, for example manipulation of departmental computer systems in order to obtain fraudulent payment of a social security benefit or avoid child support liability.

50. Internal Investigations has an agreement with FES, which clearly

identifies the respective roles in relation to investigating cases when a member of staff is suspected of involvement in a social security benefit fraud. Internal Investigations will be responsible for:

• reporting on the investigation findings; • drawing conclusions within an investigation report; and • copying relevant evidence.

51. Internal Investigations Managers may also involve other specialists where particular knowledge or expertise is required. For example:

• DWP HR Mediation & Investigation Service (HRMIS); • other Government Departments and Agencies, such as

Government Chemist to analyse hand writing samples; • Local Authorities, if Housing or Council Tax benefit frauds are

suspected.

Involving the Police or other statutory authority 52. In cases other than benefit fraud, the Internal Investigations Manager will:

• in consultation with the Internal Investigations Policy & Professional Standards team, consider whether to involve the Police or any other statutory authority responsible for investigating a particular criminal offence;

• advise HR and the relevant senior Business Manager as appropriate how the internal investigation will be progressed after consulting the Police, Information Commissioner, etc.

53. Some cases may be investigated jointly by Internal Investigations, the

Police and other agencies. For example those involving: • diversion of Government funds or payments, or • access to and unauthorised disclosure of identity details.

Standards of Behaviour investigations when criminal investigations are also appropriate 54. When investigations are being undertaken into suspected criminal

offences:

• the Internal Investigations Manager will consider whether it is appropriate to continue with a concurrent investigation into misconduct arising from suspected breaches of the Department’s Standards of Behaviour .

• Internal Investigations will work closely with and support the criminal Investigators and ensure that any investigation into the suspected misconduct does not prejudice the criminal investigation.

55. If the Internal Investigations Manager considers there are reasonable

grounds to believe there has been an incident of misconduct, Internal Investigations:

• if appropriate, will arrange to interview the member of staff about the suspected misconduct after any interview has been conducted concerning criminal offences;

• may use information obtained from an Interview Under Caution conducted in accordance with the relevant Codes of Practice under the Police and Criminal Evidence Act 1984 (PACE), and any associated evidence, for the purposes of the investigation into suspected misconduct;

• when evidence of misconduct is discovered, will report the findings to the relevant manager in the normal way. This may be before decisions have been made on whether criminal charges will be pressed. Any disciplinary decisions taken are without prejudice to the outcome of the separate criminal considerations.

Transferring, restricting duties or suspending a member of staff 56. During the course of an investigation it may become necessary as a

precaution to: • move a member of staff temporarily to another post or • restrict their duties, or • suspend them from duty.

57. Internal Investigations is not responsible for making these decisions. Its role is to provide advice and recommendations when appropriate. In these circumstances the Internal Investigator will consult the local senior manager who will in turn consult CS HR Casework/HR Business Partner as necessary.

58. In some instances the Internal Investigations Manager will recommend to

the senior local manager or CS HR Casework/HR Business Partner that they should consider suspending a member of staff from duty. This will be when the Internal Investigations Manager considers that an individual’s continued presence will:

• affect the public interest

• put other members of staff or members of the public or property at risk

• risk the destruction of any available evidence • prejudice an investigation • unduly influence other employees who may be interviewed as part

of the investigation • have an adverse effect on the work of an office.

59. In some cases it may be necessary to recommend suspension of access to one or more computer systems to prevent:

• further abuse of the system; • evidence being altered or destroyed during the course of the

investigation.

60. If this affects an individual's ability to do their job they may need to be moved to other duties pending the outcome of the investigation.

The final decision on whether to suspend or transfer a member of staff rests with the appropriate business manager who must consult with HR/CS HR Casework. See Considering precautionary measures in DWP Disciplinary Procedures.

Desk searches 61. It is sometimes necessary to search desks, pedestals, lockers etc. As

long as it does not delay the investigation, this will normally be carried out by two Investigators in the presence of:

• the member of staff concerned • a manager and • a Trade Union (TU) representative.

62. In exceptional circumstances, if it is not possible to include the individual concerned, the search will be carried out in the presence of witnesses. These may be the individual’s line manager, business manager and a TU representative, again as long as this does not unreasonably delay the investigation.

Interview Arrangements 63. Internal Investigators will:

• normally consult the individual’s line manager when arranging Investigatory interviews carried out as part of a formal staff investigation;

• ask the manager to issue the letter inviting the person to attend an interview (Appendix 5). This letter will explain in broad terms the nature of the areas to be discussed; and

• normally give staff three working days notice of the interview. This gives individuals time to arrange for a colleague or TU representative to accompany them, if they so wish.

64. In very exceptional cases, when it is considered necessary to give less

than three days notice, the Internal Investigations Manager must make a formal written note recording the reason(s) for the shorter notice. In these cases, individuals still have the right to have a colleague or TU representative present.

65. A single Investigator will normally carry out interviews but only if the

interviewee doesn’t object, prior to the interview, to the interview being recorded. There may be occasions when the Investigator will make arrangements for a second person (normally another Investigator) to accompany them to the Investigatory interview. In these cases the interviewee will be told in advance of the interview.

66. Internal Investigators will:

• provide the member of staff with a separate notice (Appendix 6) which explains their rights;

• ask the member of staff to sign a copy to acknowledge receipt before the interview proceeds;

• remind the member of staff of the need to respect the confidentiality of the investigation;

• at the conclusion of the Investigatory interview, advise the member of staff of the next steps; and

• provide advice on the appropriate contacts for post interview support.

Recording of interviews 67. Interviews will normally be recorded (Appendix 7). 68. When a recording is made, the officer being interviewed will be:

• given a copy of the recording at the end of the interview; and • sent a full transcript within ten working days, or as soon as is

practicable.

69. If there is any dispute over the transcript: • the officer and the Investigator should try to resolve the matter • if agreement cannot be reached, the matter will be considered by

an independent senior officer with no involvement in the case

70. If this does not solve the disagreement: • the independent senior officer will record their opinion which will be

made available to the officer under investigation and the Decision Maker

• the officer under investigation will put their opinion in writing. This will be considered by the Decision Maker together with all the other evidence.

71. If it is necessary to interview staff members about suspected criminal

offences, these interviews will be carried out under caution in accordance with the relevant Code of Practice under the Police and Criminal Evidence Act 1984 (PACE). In these cases the Investigator will explain how the member of staff may obtain a copy of the recording.

TU representative or DWP work colleague in attendance at interview 72. It will be for the individual to:

• consider whether they wish to have a TU representative or DWP work colleague present at the interview; and

• make arrangements for this person to accompany them.

73. The TU representative or DWP work colleague: • must not be a person who has been, or may be interviewed as part

of the investigation; • is not allowed to answer questions on behalf of the person being

interviewed.

74. Staff who are to be interviewed under caution: • have the right to a legal adviser or any other person, not

necessarily from within DWP; • will receive additional information about their rights when they are

informed of the interview.

Support for those involved in investigations 75. It will be the responsibility of line managers to:

• provide day-to-day support as part of their normal duty of care. For example, this could include Stress Risk Assessments when these are appropriate;

• agree regular keep in touch arrangements with staff who are suspended from duty or temporarily moved.

76. Persons invited to attend Investigatory interviews will be reminded of the

services available under DWP’s Employee Assistance Programme (EAP). 77. Internal Investigations will keep CS HR Casework informed when

significant unexpected delays occur during an investigation.

Witnesses 78. Witnesses may be:

• members of staff, • contractors,

• members of the public. Members of the public are sometimes unwilling to cooperate, but it is important that it is shown that every effort was made to obtain their evidence.

79. A witness is an individual who played no part in an alleged offence but

who saw or heard something which is relevant to the investigation. Witness interviews are carried out when the individual being interviewed is:

• not suspected of any misconduct/offence; • not thought to have been negligent; • being asked to provide details.

80. If an Internal Investigator suspects an individual may have been involved in the suspected offence, or is in some way culpable, then the Investigator should follow the normal procedures in conducting an Investigatory interview.

81. Whenever possible, witnesses will be interviewed before any interview is

conducted with the member of staff under suspicion. This is so that the Internal Investigator has as full a picture as possible prior to the Investigatory interview. There will be some occasions when information obtained at the Investigatory interview reveals the need to interview other witnesses.

82. All DWP staff are expected to assist in such investigations by giving

statements on matters of fact provided they do not incriminate themselves. A copy of the letter advising the witness of an Investigatory interview is at (Appendix 8)

83. When appropriate, the Internal Investigator should:

• obtain statements from witnesses in addition to interviewing them; • advise the witness that any statement they make which forms part

of the evidence will be shown to the officer facing disciplinary action;

• when necessary, encourage a reluctant witness to give a statement by explaining the importance of their evidence in helping managers to deal with the alleged offence in the proper manner;

• reassure a witness - if the witness says that they are afraid of recriminations from the alleged offender - by explaining that the officer will be told not to approach witnesses. If the alleged offender fails to abide by that instruction it may result in further disciplinary action against them. In such cases, the Investigator should ensure that if the alleged offender is formally interviewed:

- they are explicitly told not to approach any witnesses and

- reminded not to discuss the matter with other staff apart from their TU representative or colleague attending the interview.

Anonymity of witnesses 84. It will not be possible to preserve the anonymity of a witness unless there

are strong grounds to suggest that identification may put the witness at risk. If an Investigator believes this is appropriate, they will discuss the matter with the Internal Investigations Manager.

85. Employment case law allows the use of anonymised statements when

witnesses have a genuine fear of a threat to their physical safety.

86. Investigators should carefully consider whether the officer could be easily identified even if the statement was anonymised. If this is the case and it is considered that the witness’s fear is well founded, it may be more appropriate to recommend that the alleged offender is suspended.

Witness incriminates themselves during interview 87. It is possible that an officer being interviewed as a witness incriminates

themselves during the course of the interview. As they have not been given their rights as required for an Investigatory interview:

• any evidence from that interview must be disregarded for the purpose of any disciplinary action;

• the interview should be terminated; and • arrangements will need to be made to conduct a formal

Investigatory interview with the officer.

Hearsay evidence 88. Direct evidence is always preferable to hearsay evidence, but sometimes

there are no direct witnesses to an incident and it may be necessary to rely on first hand hearsay evidence. For example, when Person A says that Person B said he had carried out the offence. First hand hearsay evidence is admissible but carries less weight than direct evidence. Consideration must be given to the credibility of the hearsay witness when weighing the evidence.

89. Second hand hearsay evidence is never admissible. For example, when

Person A says that Person C told him that Person B had confessed to Person C. In such circumstances, Person C should be interviewed to obtain a statement about what Person B said to him.

Statements 90. Any statements should be restricted to a description of any observable

aspects of behaviour rather than making judgements about what the

observed behaviour might indicate. It will be for the Decision Maker to draw conclusions about the meaning of the observed behaviour.

Conclusion of the investigation

Case to answer or No case to answer – staff member interviewed/aware of investigation 91. On conclusion of the investigation the Internal Investigator will:

• appoint someone within the individual’s line management chain to be Decision Maker (this person must be at least 1 grade above the individual under investigation and for cases of serious/gross misconduct, at least of SEO grade).

• approach the next person in the management chain if it is apparent that the person identified has been in any way involved in the investigation (either directly or as a witness)

• contact the appointed Decision Maker, before sending the investigation file by secure TNT delivery service ( Appendix 11). The Decision Maker will be asked to confirm receipt.

92. CMG cases will still be referred to the relevant HR Business Partner. 93. The Decision Maker is responsible for:

• carrying out a disciplinary meeting with the employee (where there is a case to answer)

• considering and evaluating all the evidence gathered • notifying those involved of the outcome of the investigation • advising Internal Investigations of the disciplinary outcome

(Appendix 11) • forwarding investigation reports and supporting paperwork to the

relevant Manager for retention and disposal in accordance with DWP’s HR Data Handling Policy and Document Retention Schedule

• informing the relevant manager to instigate and pursue the recovery of losses identified in the report through Shared Services (who will recover the loss from salary) or Accounting Services Accounts Retrievable Team (ASART) (for non employees).

94. See the DWP Disciplinary Procedures for a full list of Decision Maker

responsibilities.

No case to answer – staff member unaware of investigation 95. Cases that are clearly a no case to answer, and where the subject of

the investigation is unaware, do not need to be referred to a Decision Maker. The investigation papers are immediately destroyed as per the DWP Document Retention Schedule.

Data handling and reporting 96. All personal data handled by Internal Investigations will be processed in

accordance with DWP’s HR Data Handling Policy. 97. Internal Investigations gives summarised information about the outcome

of investigations and details of disciplinary penalties imposed to Senior Managers and Departmental Audit Committees.

Identified weaknesses – Action Points and Threat Assessment 98. On completion of every investigation Internal Investigations will complete

a Post Investigation Threat Assessment (PITA). The information will be used to:

• extract, analyse and put into context all investigative outcomes to ensure prevention, deterrence and detection activity is fully focused and effective

• identify weaknesses or non-compliance with controls/policies/procedures

• inform the relevant Business Manager/Responsible Officer and identify action points. The Internal Investigations Manager and the Intel Manager can assist business managers in addressing these action points.

• inform the Security and Assurance community so they can identify trends and gauge the need for/effectiveness of training.

99. Internal Investigations will monitor action points to assess the wider

threats posed to DWP. If they identify national or policy issues they may advise Internal Audit teams and central Corporate Governance Teams of identified weaknesses. When action points have national implications Intel will consider the impact on existing Audit and other recommendations, and will co-ordinate action with the appropriate national business owner. Intel or Internal Investigations Managers may also deliver a customer intervention to deliver action points falling out of large scale investigation exercises.

100. When appropriate, Internal Investigations will publish data on threats on

its Intranet pages.

List of Appendices Circumstances appropriate for Staff Investigation 1 Staff Investigations – Overview of Process 2 Internal Investigation Managers’ contact details 3 Staff Investigation Referral form 4 Letter advising individual of formal Investigatory interview 5 Rights of individual at Investigatory interview 6 Recording of Investigatory Interviews 7 Letter advising witness of Investigatory interview 8 Decision Makers Guidance 9 Investigation Manager’s letter to DM to consider disciplinary action 10 Staff Investigation Form – disciplinary details 11 Internal Investigations Code of Conduct and Good Practice for Investigators

12

Appendix 1: Circumstances appropriate for staff investigation The following categories of suspected fraud and abuse will be considered for an investigation by the Central Referral Team Manager, although this list is not exhaustive. Where a member of DWP staff is suspected of:

• Corruption; • An undisclosed conflict of interest; • Fraud including false claims for travel and subsistence payments

for excess hours; • Misuse of advances of salary, or advances of subsistence

payments; • Irregularities arising from recruitment, for example bogus

references, or failure to declare criminal convictions; • Theft or misappropriation of cash, instruments of payment or client

funds; • Irregularities relating to purchasing, tender exercises, contract

management or other procurements; • False accounting, e.g. fraudulent alterations to documents,

including medical certificates, forgery of documents or signatures, misuse of advance of salary or failure to bring cash or other valuables to account;

• A financial irregularity relating to a DWP approved staff club; • Where doubt or suspicion is raised about a claim to compensation

against DWP for personal injuries or disability or a significant loss or damage to personal items.

• Theft or misuse of official equipment, vehicles or office supplies; • Undeclared criminal convictions; • Access to customer or other system-held information without

sufficient business justification (e.g. CIS/LMS) which gives rise to suspected impropriety;

• Unauthorised disclosure of customer or other restricted information;

• Misuse of IT equipment or electronic media, for example unauthorized internet connections, accessing inappropriate internet sites using a remote connection, distribution of inappropriate software or malicious computer programs or viruses, or theft of Departmental software (but not including routine breaches of the Department’s Electronic Media Policy, for example the sending of offensive or inappropriate e-mails);

• Undertaking a secondary occupation whilst sick, or undertaking an undisclosed secondary occupation where DWP permission is likely to have been refused;

• Allegations of serious professional misconduct e.g. customer alleges sexual harassment, although this may involve input from the DWP HR Investigation Service.

• Appendix 2 – Investigations: Overview of Process

Referral made for investigation

Internal Investigations Central Referral & Allocation Team considers appropriate

investigation

Rejected for Investigation

Accepted for Investigation

Letter sent with

reason/advice

HRBP advised if accepted for Investigation

Investigation

Investigations Manager provides HRPB updates where required. BU Manager may be notified of

significant investigations, or issues identified during the

investigation process that will impact upon business delivery

Established no evidence of breach of DWP standards –

no formal investigatory interview

Staff Investigation

Internal Investigations investigation report to CSHR Casework. CSHR Casework

give details of appointed Decision Maker to Internal

Investigations

Internal Investigations issue investigation file to Decision

Maker to consider disciplinary action

Decision Maker/HR notifies Internal Investigations of any

disciplinary outcome

Case closed – No further action appropriate HRBP

advised by letter.

Weakness in Internal Control

identified

Manager’s Letter issued to appropriate

management/stakeholders with action points

Appendix 3 – Internal Investigations Managers’ Contact Details

Appendix 4: Staff Investigation Referral Form Referral form

Appendix 5 – Investigatory Interview Invitation Letter (Appendix 16) My address Internal Investigations

XXXXXXXXXXX XXXXXXXXXXX

PERSONAL

My phone number XXXXXXXXXXXX My fax number XXXXXXXXXXXX Email XXXXXX@DWP.

Website www.dwp.gov.uk

Date XXXXXXXXXXXX INVESTIGATORY INTERVIEW I have been asked to conduct a Staff Investigation into a suspected irregularity concerning XXXXXXXXXXXXXXXXXXXXXXXXXXXX and I am writing to advise you that I need to carry out an Investigatory Interview with you. I have arranged to interview you on [Day / Date / Time / Office]. Please let me know if you have a disability, impairment or have special needs, so that I can make suitable arrangements. Attached are details of the rights you have as a DWP employee. I have arranged for the interview to be recorded as this method ensures that our discussion is accurately recorded and the length of the interview will be kept to a minimum. I have enclosed a copy of Appendix 26a – Recording of Investigatory Interviews, which I suggest you read prior to your interview. More information can be found in: ‘Staff Investigations – A Guide for Managers and Staff’, which can be accessed on the DWP intranet using:

• the A-Z button • choosing Internal Investigations • clicking on the ‘Guidance’ link on the left side and • clicking on the ‘Internal Investigations: a Guide for Managers and Staff’

In advance of the interview, please confirm that you are content with the recording and whether you intend to have a work colleague or Trades Union (TU) representative present. Please confirm these details to me either by telephone or by e-mail using the details quoted above.

I appreciate that this may be a difficult time for you and you may wish to seek general advice and support from your Business Manager or Trade Union representative. You may also seek support or counselling via the Employee Assistance Programme provided by HELP Employee Assistance. Finally, you are required to respect the confidentiality of this investigation. Therefore, you must not discuss the investigation or pass on information relating to it, to anyone other than your chosen representative or HELP Employee Assistance Counsellor. Any breach of this confidentiality could in itself lead to disciplinary action being taken against you. Yours sincerely, (Name) Internal Investigator

Appendix 6 - Your Rights at an Investigatory Interview You are to be interviewed as part of an investigation into an alleged breach of the DWP Standards of Behaviour. Investigators believe you may be able to provide important information in connection with the alleged incident. It will be an Investigatory Interview and it is likely that you will be among a number of people being interviewed to provide information in connection with this matter.

You have a right to have a Trade Union Representative or colleague present during the interview. You should explain to the person accompanying you that their role is to ensure that the interview is conducted fairly and objectively but that they cannot answer questions on your behalf.

If you decide not to have a Trade Union Representative or colleague present but decide during the interview that you wish to be accompanied, you should inform the investigating officer who will suspend the interview to allow you to make the necessary arrangements.

All staff are expected to assist with Internal Investigations. However, you have the right to remain silent if you wish to do so. This means that you do not have to answer any or all of the questions asked. However, Investigatory Interviews provide people with the opportunity to provide information and explanation about what they may have done or seen or heard. If you are alleged to have breached the Standards of Behaviour and choose to remain silent, any decision on whether disciplinary action is appropriate will be made in light of the evidence available to the Decision Maker at the time.

You also have the right to make a written statement.

You will be provided with a copy of the report of the interview for your comments.

Following the interview and any other investigation that may be needed, the papers will be passed to the appropriate Decision Maker, who will decide if there is any disciplinary action to be taken.

Declaration: I have read and understand my rights with regard to this Investigatory Interview. I do/ do not wish to have a Trade Union Representative present. I do/ do not wish to have a colleague present.

I have been given a copy of ‘Your Rights at an Investigatory Interview’ and my attention has been drawn to the ‘Staff Investigations – A Guide for Managers and Staff’. I have been given the opportunity to read both of these documents. I agree/ do not agree to this interview being recorded.

Signature: Date: Witness: Date:

Appendix 7 - Recording of Investigatory Interviews These procedures concern the recording of interviews carried out in Investigatory interviews with suspected offenders and witnesses conducted by line managers or staff Investigators for the purpose of investigating suspected conduct offences. The procedures do not apply to Interviews under Caution which must be carried out in accordance with the requirements of the Police and Criminal Evidence Act (PACE). 1. Recording can only be carried out when those being interviewed agree to this in writing, and a record is to be kept of this consent. 2. The only intention of recording is to provide an accurate transcript of the interview. The recording will not replace the final written record of the interview and will not be used as evidence. It will not be made available to the officer deciding the disciplinary case, unless the officer under discipline wishes the deciding officer to listen to the recording of their interview(s) and gives written permission for the officer deciding the disciplinary case to have access to the recording. 3. Recording must take place on a machine capable of dual recording. 4. If an interview is adjourned and subsequently reconvened, the recording and transcript of the interview should record this. 5. At the end of the interview the officer interviewed will be given one of the recordings and asked to acknowledge receipt. The other recording will be retained by the interviewer who will arrange for typing of a transcript of the interview from the recording. 6. The officer interviewed will be provided with a transcript of the interview as soon as practicable and in any event within a period of 10 working days and will be invited to agree and sign to the effect that it is a full and correct transcript of the interview. In the event that there is a disagreement about the transcript, the officer and the interviewee will try to resolve the disagreement. If the disagreement is resolved, only the final agreed version will be made available to the officer deciding the disciplinary case, not the version(s) that have been the subject of disagreement. 7. If it is not possible to resolve the disagreement about the transcript, this matter will be considered by a senior officer who has no involvement with the case. If it is still not possible to resolve the disagreement, the senior officer will record their opinion which will be made available to the officer interviewed and the officer

deciding the disciplinary case, together with any written comments about the disagreement from the officer interviewed. 8. When the investigation is complete the management side copy of the recording(s) will be retained by Internal Investigations, who must gain permission for access to them if required by the deciding officer (in accordance with paragraph 2 above). If disciplinary action is taken and found to be proven, the recordings will be retained for a period of 6 months after the end of the appeal process (internal or external). If disciplinary action is not taken or if it is found not to be proven, the recordings will be retained for a period of 6 months from the date of the notification of the decision. At the end of the period of 6 months the recording(s) will be destroyed and the officer advised in writing that this has been done.

THE OFFICER WILL HAVE THE RIGHT TO BE ACCOMPANIED BY A TRADE UNION OFFICER OR COLLEAGUE AT ALL STAGES OF THE PROCEEDINGS

Appendix 8 – Investigatory Interview Invite Letter (Witness) My address Internal Investigations

XXXXXXXXXXX XXXXXXXXXXX

PERSONAL

My phone number XXXXXXXXXXXX My fax number XXXXXXXXXXXX Email XXXXXX@DWP.

Website www.dwp.gov.uk

Date XXXXXXXXXXXX INVESTIGATORY INTERVIEW

I have been asked to conduct a Staff Investigation into a suspected irregularity concerning ____________________ . Although you are not yourself under any suspicion, I believe you may have witnessed incidents or have important information about the matter under investigation. I therefore need to carry out an Investigatory interview with you. I have arranged to interview you on [DAY-DATE TIME & LOCATION]. Please let me know if you have a disability or impairment or have special needs, so that I can make suitable arrangements. Attached are details of the rights you have as a DWP employee. Subject to your agreement it is proposed to record the interview. More information can be found in ‘Staff Investigations – A guide for Managers and Staff’, which can be accessed on the DWP intranet using:

• the A-Z button • choosing ‘Internal Investigations’ • clicking on the `Guidance’ link on the left side and • clicking on the `Internal Investigations: A Guide for Managers and

Staff’ If you have concerns about this matter, you may wish to seek general advice and support from your Business Manager. You may also seek support or counselling via the Employee Assistance Programme provided by HELP Employee Assistance.

Finally, you are required to respect the confidentiality of this investigation. Therefore, you must not discuss the investigation or pass on information relating to it, to anyone other than your chosen representative or HELP Employee Assistance Counsellor. Any breach of this confidentiality could in itself lead to disciplinary action being taken against you. Investigating Officer

Appendix 9 – Decision Makers Guidance Decision Makers Guidance Thank you for agreeing to be the Decision Maker in this case. As discussed, I have enclosed the Investigation File, including the Final Report and associated documentary evidence. Internal Investigations have identified you as the Decision Maker as you are the first person in the management hierarchy at SEO level or above, and at least two grades above the person investigated, who has not been involved in the investigation. As Decision Maker in this case, you must demonstrate impartiality. If you believe you cannot deal with this case impartially, you should speak to your line manager in the first instance. If you are in any doubt, a HR Expert will be able to help you consider this issue. It is not Internal Investigations’ responsibility to identify an alternative Decision Maker. Your role as Decision Maker involves reviewing the information enclosed and reaching your own conclusions as to whether there has been a breach of procedures. Where there has been a breach, you are responsible for taking appropriate disciplinary action. Should you need additional information about the investigation or the conclusions reached, please contact Internal Investigations quoting the reference number above. No Case to Answer If you decide there is no case to answer, please inform Internal Investigations using the template provided. If the individual has been interviewed, you should formally advise them that the case is closed and there is no case to answer. If the individual is unaware of the case, they should not be advised of the outcome. The Investigation File should be retained as per the DWP Human Resources Document Retention Schedule Case to Answer If you conclude that there is a case to answer, action should be taken as per the DWP Disciplinary Policy Recovery of Losses for Serving DWP Employees The report includes a financial value which should now be recovered. In your role as Decision Maker, you should inform the member of staff’s Line Manager to instigate and pursue this recovery. This is in line with the disciplinary procedures. Paragraph 13 informs the Decision Maker that the individual’s pay needs to be corrected.

As this investigation involves an existing member of staff the Line Manager should raise a Service Request through Resource Management (RM) using the attached link and Shared Services will recover the loss from Salary. Recovery of Losses for ex DWP Employees and others If an ex member of staff or not a DWP employee, the Decision Maker should inform the Line Manager to raise an Invoice through the Accounting Services Accounts Retrievable Team (ASART) who will pursue the debt on behalf of DWP. Prosecution Cases If the matter is progressed for prosecution and not all sums are fully recovered through the court or involves Benefit Fraud the Line Manager will be informed to pursue the recovery of this additional loss through Debt Management. HR Support HR Experts are available to help and support Decision Makers throughout the decision making process. They can be contacted by telephoning the Employee Services call centre. You will be put through to a HR Expert in the Complex Case Advisory Service. It is important to remember that where a case relates to Information Security, the Discipline Procedures (at para 17) advise Decision Makers that they must discuss the case with an HR Expert before taking formal disciplinary action. In all cases, after you have considered the evidence and the appropriate penalty, the Discipline Procedures (para 8.6) requires you to contact an HR Expert (as above) to check that the penalty is consistent with policy intent. It is important that disciplinary penalties are input to RM. Guidance on how to do this is contained within the Decision Makers Action Sheet enclosed. As well as updating RM with details of the disciplinary penalty, you must complete a Decision Maker’s Template to record the action you have taken and the basis of your decision. Please note that there is a requirement for all disciplinary action to be taken promptly. Internal Investigations are required to report the disciplinary outcome of all investigations and therefore, it is important that you notify us immediately on completion of your action using the Disciplinary Outcome Pro-forma enclosed. The case cannot be closed by Internal Investigations until a decision is received and recorded. Thank you for your co-operation

Internal Investigations

Appendix 10 – Investigation Closure Letter (Appendix 36)

My address Internal Audit and Investigations Directorate Internal Investigations

My phone number (Direct line)

Web Site: www.dwp.gov.uk

Date Decision Maker: Location: Subject: INTERNAL INVESTIGATION Reference / Subject Location Issue: Investigation report for consideration of disciplinary action Response: To complete customer satisfaction questionnaire and notify

the outcome of the disciplinary process 1. For details of the role of Decision Maker, please refer to the Decision Makers Action Sheet and the Decision Makers Guidance attached: 2. A Customer Satisfaction Questionnaire has been emailed to you and I would be very grateful if this could be returned with your comments when action is concluded. This will enable me to monitor the quality of our work and make relevant improvements 3. Internal Investigations are required to provide information about the outcome of investigations including details of disciplinary penalties imposed, for example in response to Parliamentary Questions and Freedom of Information requests. Please arrange to notify me of the outcome of the disciplinarily process for this investigation on part two of the enclosed Customer Satisfaction Questionnaire. 4. Can you please advise me if the member of staff appeals against your disciplinary decision, as Internal Investigations are now required to retain investigation audio recordings for 6 months after the appeal process has ended? It is therefore, equally important that you notify me when an appeal processes concludes.

5. To protect the integrity of the investigation and any subsequent disciplinary action, this report should not be discussed, copied or circulated to anyone other than the individual concerned (in line with the Disciplinary Procedures) and the appropriate management and decision making line. 6. The Decision Maker must avoid the release of third party personal data by redacting it where relevant so that it is not possible to draw inferences about living individuals from what remains. Decision Makers should decide what is relevant on a case-by-case basis. 7. I enclose a ‘Redaction Checklist’ to help you decide what is relevant. This must be done prior to copying information to the employee. 8. Finally, if there are any aspects of the investigation that you would like to discuss, please do not hesitate to contact me (details above) or the investigator, XXXXXX on XXXXXXX. NAME Investigations Manager

Appendix 11: Staff Investigation Form Disciplinary Details To be completed and returned to Internal Investigations Manager following investigation Ref No

Name

HR Centre

Contact Name

Tel No

Disciplinary Penalty Applied?

No (text box available)

Yes (following boxes available)

Disciplinary Penalty 1

Disciplinary Penalty 2

Disciplinary Penalty 3

Disciplinary Penalty 4

Date imposed

Appendix 12 - Code of Conduct and Good Practice for Investigators This code applies to all officers engaged on, or acting on behalf of Internal Investigations or carrying out duties involving the investigation of fraud.

Application

1. This code is to be read in conjunction with any legal requirements and current staff rules, in particular the section on discipline. The attached links to intranet pages ‘The Department and You’ and ‘Discipline’ should prove useful. Alternatively these can be accessed via the intranet DWP Home Page by clicking on A-Z and going to ‘D’ where you will find ‘The Department and You’ pages. The section on discipline can also be viewed via this site.

The Department and You

Discipline

Breach of the code of conduct and good practice

2. A breach of the code of conduct and good practice will be treated as misconduct and dealt with under current disciplinary guidance and procedures. Where it is not clear whether a breach is deliberate or not it will be investigated under the disciplinary procedures.

3. Inefficiency is not a breach of this code, but still falls short of the standards expected, and will require remedial training.

4. Proven offences under the code may be classed as minor, serious or gross misconduct.

5. Listed below are examples of factors which may be taken into account in determining the level of seriousness of any misconduct under the code and determining the appropriate level of disciplinary sanction or penalty:

• whether in the view of the decision maker the misconduct resulted from a negligent or deliberate breach of the code

• the effect of such a breach on any current or anticipated civil or criminal proceedings

• the effect of the breach on a current or anticipated investigation • the extent to which a breach results in the unlawful interference

with the rights of any individual as set out in the Human Rights Act or any amending or repealing legislation.

Provisions

General conduct

6. Officers to whom the code applies must not:

• exceed their actual authority or hold themselves out as having any authority not provided by legislation

• act in any way which exceeds the actual limits of their powers • imply that they could act in any way which exceeds the actual

limits of their powers • misuse their official position for any benefit or gain for themselves

or another.

Legislation, other codes of practice and guidance

7. Officers to whom the code applies must:

• pursue all reasonable lines of inquiry (including those which point away from a suspects guilt)

• ensure that all material which may be relevant is recorded and retained and that such material is revealed to the prosecutor in accordance with the provisions of the Criminal Procedure and Investigations Act and the Codes of Practice

• ensure that all provisions of the Police and Criminal Evidence Act and the Codes of Practice are observed in relation to the gathering of evidence, seizure of property or information, searches, and the interviewing and treatment of suspects

• ensure that all applicable provision of the Regulation of Investigatory Powers Act and the Codes of Practice and guidance thereto are observed in relation to directed covert surveillance

• ensure that all applicable provision of the Data Protection Act and guidance thereto are observed in relation to obtaining information

• observe all other applicable legislation, Codes of Practice and internal and external guidance.

Evidence, witnesses and suspects

8. Officers to whom the code applies must not under any circumstances:

• conceal or fabricate evidence or knowingly allow any evidence to be fabricated or concealed

• discriminate or exercise any bias on the grounds of race, sex, marital status, sexual orientation or disability

• accept or offer any inducement, bribe or other advantage from or to any witness, suspect or informant

• use any information gathered in the course of their duties for personal gain or coercion or otherwise misuse such information

• do or fail to do anything which may result in a miscarriage of justice.

Disclosure of interests

9. Officers must declare any circumstances or interests that may affect their ability to conduct an investigation objectively, including but not limited to:

• any relationship to or with a suspect, witness or informant • any personal interest in the outcome of an investigation or other

civil or criminal proceedings • dependency on drugs or alcohol.

Criminal convictions and disciplinary sanctions

10. Officers must notify their line manager without delay (see also paragraph 11) of any:

• summons • charge • arrest • conviction • ongoing internal investigation, or • disciplinary matter (including receipt of a disciplinary penalty)

Details of which should be confirmed in writing as soon as possible thereafter.

11. A failure by the officer to declare the circumstances set out in paragraphs 9 and 10 within 7 days may undermine the ability to secure a criminal conviction, by adversely affecting the Department’s ability to continue proceedings in a case the officer is investigating. In such circumstances further action may be considered, in accordance with disciplinary procedures where the failure to report the circumstances in paragraphs 9 and 10 are considered to be a breach of the Code of Conduct.

Safeguarding information

12. Officers must treat all information gathered or received during the course of an investigation as confidential and must not deliberately or negligently:

• disclose such information to an unauthorised third party • reveal the source of information to an unauthorised third party.

Personal injury and damage to property

13. Officers must exercise all reasonable care to prevent injury to the person or loss or damage to public and private property and must not:

• forcibly enter public or private property except to save life or prevent serious injury or on the invitation of the occupier or other responsible person or constable

• deliberately or negligently destroy or damage any property • seize or retain any property without lawful authority • use or threaten physical violence towards a colleague or member

of the public.

14. Clarification on the application of the Code of Practice may be sought from:

Policy and Professional Standards Team Ground Floor South Zone M Quarry House Leeds

In cases of doubt or difficulty. P&PS will liaise with HR Policy where appropriate. For example, where the interpretation of the application of disciplinary procedures is required).