SlideShare a Scribd company logo
As soon as non-
compliance with
rules and standards
is suspected, a
prompt investigation
needs to be carried
out. This could be a
preliminary
investigation into the
substance of the
allegations or the
start of a full-blown
enquiry.
Investigations are
part of the
disciplinary process
and need therefore
to be conducted
fairly and impartially.
They should aim to
deal only with
checkable factsand
produce a report
which does not
prejudice decisions
about guilt or
disciplinary action.
There are 7 steps in carrying out a
proper investigation into an alleged
breach of discipline. They are...
1.Lay down ground rules on
investigating procedures. An
investigating officer should be someone
different from the disciplining officer.
2.Agree what the purpose of the
investigation is.
3. Plan the investigation using a format
such as: Who? What? Where? When?
and How?
4.Gather the information possibly from
witnesses, visiting the scene, re-running
the incident.
5.Question witnesses and those
suspected of breaches of discipline.
6. Take notes.
7.Compile a report and submit it to the
disciplining officer.
"When presenting a report on an alleged incident, you may be asked your opinion. Avoid giving it.The
investigating role is to gather facts, not draw conclusions."
A core statement provides
the reference point for your
investigation. It states...
1.the type of investigation
2.what the report aims to do
3. what issue exactly is to be
investigated.
For example:
"The investigation and
subsequent report for the
disciplining officer will
describe the sequence of
events in two alleged cases of
fraudulent use of clock cards
on Friday June 6th."
"I keep six honest serving-men, (They taught me all I knew).Their names are What and
Why andWhen, and How andWhere andWho."
(Rudyard Kipling 1865 - 1936)
A DisciplinaryInvestigation
Who? What?Where?When?How?
MTL Infographics
Skill
Boosters
89
Avoid interrogating witnesses...
• making links ("So if he wasn't in
the shop, he could have been in
the cloakroom.")
• loaded questions ("It's your job
to know who comes in, isn't it?")
• hinting ("So it could have been
him?")
• theorizing ("Would you say
that it could have been someone
of his size?").

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Infographic 89 on "A Disciplinary Investigation" from ManageTrainLearn

  • 1. As soon as non- compliance with rules and standards is suspected, a prompt investigation needs to be carried out. This could be a preliminary investigation into the substance of the allegations or the start of a full-blown enquiry. Investigations are part of the disciplinary process and need therefore to be conducted fairly and impartially. They should aim to deal only with checkable factsand produce a report which does not prejudice decisions about guilt or disciplinary action. There are 7 steps in carrying out a proper investigation into an alleged breach of discipline. They are... 1.Lay down ground rules on investigating procedures. An investigating officer should be someone different from the disciplining officer. 2.Agree what the purpose of the investigation is. 3. Plan the investigation using a format such as: Who? What? Where? When? and How? 4.Gather the information possibly from witnesses, visiting the scene, re-running the incident. 5.Question witnesses and those suspected of breaches of discipline. 6. Take notes. 7.Compile a report and submit it to the disciplining officer. "When presenting a report on an alleged incident, you may be asked your opinion. Avoid giving it.The investigating role is to gather facts, not draw conclusions." A core statement provides the reference point for your investigation. It states... 1.the type of investigation 2.what the report aims to do 3. what issue exactly is to be investigated. For example: "The investigation and subsequent report for the disciplining officer will describe the sequence of events in two alleged cases of fraudulent use of clock cards on Friday June 6th." "I keep six honest serving-men, (They taught me all I knew).Their names are What and Why andWhen, and How andWhere andWho." (Rudyard Kipling 1865 - 1936) A DisciplinaryInvestigation Who? What?Where?When?How? MTL Infographics Skill Boosters 89 Avoid interrogating witnesses... • making links ("So if he wasn't in the shop, he could have been in the cloakroom.") • loaded questions ("It's your job to know who comes in, isn't it?") • hinting ("So it could have been him?") • theorizing ("Would you say that it could have been someone of his size?").