The Investigating Officer Principles of Good Practice

1. The Investigating • Officer • Principles of Good Practice • Deborah Bowman & Andy Kent, May 2017

2. Dame Janet Smith on Investigation • Investigation is a task which requires considerable expertise, particularly where the matter to be investigated involves complex issues. Investigation can also require a degree of determination, inquisitiveness and perseverance in order to ascertain what happened or, where there is a conflict of evidence, in order to identify precisely where the differences between the accounts given by the various witnesses lie. (Shipman Inquiry Report, Volume 5 Chapter 18, 2004)

3. Basic Principles • Timeliness • Consistency (both with self and others) • Rigour: focus on facts, evidence and all interested parties • Transparency: all parties to be informed of content, reason and process for investigation

4. Basic Principles • Inclusive: provision of support, including access to advice and a third party presence • Accountable: explanation of recommendations with reference to evidence • Fair: opportunity for challenge and appeal

5. Pitfalls • Inconsistency • Variation in quality both of the investigation and the written report • Lack of transparency • Variability of capacity/ability both in interviewing and writing reports • Delegation to staff who are inexperienced • Delays in seeking advice when an investigation becomes difficult • Not adhering to timescales or requesting more time if required

6. Pitfalls • Accepting, unquestioningly, one party’s version of events without exploring other perspectives or seeking evidence to explain differences in perception • Insufficiently objective and/or conclusions not always sound • Parties not kept in touch with what is going on • Misunderstanding or placing insufficient emphasis on the professional significance of some concerns

7. Asking the Right Questions • Are you the right person? e.g. conflicts of interest, will your current workload allow you to complete the investigation, etc? • What is it you are being asked to investigate? • What relevant information do you already have? • What relevant information can and/or should you seek and from where? • What do you need to do to conduct a comprehensive investigation, but not to protract the process?

8. Relevant Information • The older the evidence, the less reliable it is likely to be • If information relates to previous incidents where no action was taken at the time, it may not be appropriate to include it although apparent patterns of conduct should be noted • Information that is not supported by evidence has less weight than that which can be evidenced

9. The Process of Investigation

10. Organisation and Planning • Summarise the issues and clarify your role • Identify what you need to know and to whom you should speak • Draft a schedule of interviewees, meetings, deadlines and overall timescale for completion • Keep a record of all contacts relating to the investigation

11. The PEACE Approach to Interviews • Preparation and planning • Engagement and explanation • Account • Closure • Evaluation

12. Common Themes and Challenges

13. The Vulnerable or Potentially Unwell Participant • Investigations are inherently stressful and emotions may run high • Try to minimise the anxiety and distress • Be aware of, and offer support if appropriate e.g. personal tutor, counsellor etc. • Bear in mind the interface between conduct and health – seek advice early if concerned

14. The Reluctant Participant • Subject of an investigation – what is position? • Other parties e.g. fellow students, members of staff (including those who have left the institution) • Requests to speak ‘off the record’: you cannot offer absolute confidentiality as an investigating officer nor can you ‘un-know’ that which has been disclosed

15. Parents, Lawyers, Spouses and Assorted Others • A supporter who observes is acceptable and even to be encouraged • An investigation is not a legal process but lawyers can be present and may make notes but not speak for, or otherwise, intervene

16. Parents, Lawyers, Spouses and Assorted Others • Check with an individual that he or she is being accompanied voluntarily – the unwelcome and uninvited do occasionally appear during an investigation

17. Bullying and Harassment Cases • How does this relate to SGUL policy? • Who was involved? • What was, and is, the relationship between the parties? • When did the event(s) occur? • What are the perceptions of what happened? • What evidence is there (including personal records such as diary notes)?

18. Bullying and Harassment Cases • What has been the effect of the incident(s)/behaviour? • Have the issues been discussed with anyone else? If so, who and what happened? • Has support been offered/sought? • What would the complainant like to happen? What would constitute ‘resolution’?

19. The Impossible Case • Demonstrate reasonable effort even if it has not been fruitful • Be explicit about limitations and reasons for same • If appropriate, make a reasoned recommendation on the basis of what you have found/the available evidence

20. The Persistent and Challenging Party • You will become a central figure to parties who may need reminding of your role and its limits • Be clear and maintain boundaries • The report may not be welcome and you may be challenged either informally or formally • Remain calm, explain who can advise on an appeal and be prepared to respond if required

21. Fair and softly goes far Miguel De Cervantes