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It defines key roles, including the case manager, investigating officer, People Operations team, and trade union representative, emphasizing fairness, objectivity, and timely decision-making. Guidance covers preparation, deciding whether an investigation is necessary, conducting initial fact finding, handling potential criminal or counter-fraud reporting, and ensuring documentation to support defensible outcomes.",{"@graph":63,"@context":122},[64,80,101],{"@type":65,"itemListElement":66},"BreadcrumbList",[67,71,74,77],{"item":68,"name":69,"@type":70,"position":9},"https://docshare.wps.com","Home","ListItem",{"item":72,"name":10,"@type":70,"position":73},"https://docshare.wps.com/template/",2,{"item":75,"name":51,"@type":70,"position":76},"https://docshare.wps.com/template/general/",3,{"item":78,"name":59,"@type":70,"position":79},"https://docshare.wps.com/template/workforce-investigation-procedure-procedure-for-workforce-investigations/172046/",4,{"url":78,"name":59,"@type":81,"image":82,"author":87,"headline":59,"publisher":90,"fileFormat":93,"inLanguage":57,"description":61,"dateModified":94,"datePublished":95,"encodingFormat":93,"isAccessibleForFree":96,"interactionStatistic":97},"DigitalDocument",{"url":83,"@type":84,"width":85,"height":86},"https://docshare.wps.com/thumbnails/workforce-investigation-procedure-procedure-for-workforce-investigations/172046.png","ImageObject",442,249,{"name":88,"@type":89},"Oliver","Person",{"url":68,"name":91,"@type":92},"DocShare","Organization","application/vnd.openxmlformats-officedocument.wordprocessingml.document","2026-09-21","2026-09-01",true,{"@type":98,"interactionType":99,"userInteractionCount":76},"InteractionCounter",{"@type":100},"ViewAction",{"@type":102,"mainEntity":103},"FAQPage",[104,110,114,118],{"name":105,"@type":106,"acceptedAnswer":107},"What is the purpose of a workforce investigation under this procedure?","Question",{"text":108,"@type":109},"It is a systematic, formal review that establishes the facts about a workforce concern. It should be linked to a specific workforce policy or procedure to support resolution of employee relations issues.","Answer",{"name":111,"@type":106,"acceptedAnswer":112},"What are the responsibilities of the case manager?",{"text":113,"@type":109},"The case manager leads and manages the investigation through to timely conclusion. They commission the investigation, appoint the investigating officer, agree terms of reference, review practice restrictions/redeployments, liaise with safeguarding when needed, and decide next steps with People Operations at the end.",{"name":115,"@type":106,"acceptedAnswer":116},"What is the investigating officer’s role regarding proving guilt?",{"text":117,"@type":109},"The investigating officer presents a fair and impartial overview and gathers evidence for an investigation report. For disciplinary sanctions, they do not prove guilt; they investigate whether there is a case to answer.",{"name":119,"@type":106,"acceptedAnswer":120},"When must the Trust involve Counter Fraud and potential criminal proceedings?",{"text":121,"@type":109},"If allegations raise the possibility of fraudulent activity, they must be reported to the Trust’s Counter Fraud team for further advice. 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The investigation, which is formal in nature, should be linked to a specific workforce policy or procedure and be used to help in the resolution of employee relations issues.\nMaking decisions without the completion of a thorough investigation can result in error and leave the Trust open to challenge and legal proceedings.\n2.\tRoles and Responsibilities\n2.1\tThe Role of the Case Manager\nThe role of the case manager is to lead and be responsible for the management and timely conclusion of the overall investigation process. It is therefore vital for the case manager to keep in regular contact with all parties so as to be able to deal with issues and questions as they arise.\nThe case manager’s role will include but not be restricted to:\nThe commissioning of a formal investigation following an initial fact finding exercise\nAppointment of the investigating officer\nAgreeing the terms of reference for the investigation\nReviewing exclusions and /or restrictions of practice / temporary redeployments\nEngaging with the Safeguarding team when their input is required.\nOn completion of the investigation the case manager, in conjunction with the People Operations team, also need to decide on the next course of action i.e. there is no case to answer or further proceedings are necessary.\n2.2\tThe Role of the Investigating Officer\nThe role of the investigating officer is to present a fair, objective and impartial overview of the matter under investigation. As such they should, through the gathering evidence of evidence, be able to present a report that details what did and did not happen.\nIn relation to potential disciplinary sanctions, it is not the role of the investigating officer to prove the guilt of any party but to simply investigate whether there is a case to answer.\n2.3\tThe Role of the People Operations team.\nThe People Operations team will advise on policy and procedure so as to ensure that the investigation is conducted in a fair and consistent manner. It is not the role of the People Operations team to lead or make decisions during the course of an investigation; this responsibility lies with the case manager.\nThe People Operations team will usually support both the case manager and the investigating officer throughout the investigation. Such support will include general advice linked to process and where required the sharing of more specialist HR knowledge.\n2.4\tThe Role of the Trade Union Representative\nThe role of the Trade Union Representative is to support the employee during the workforce investigation process. This role will include advising the employee on policy and procedure to ensure that fairness is maintained at all times. While it is not the role of the Trade Union Representative to answer questions on behalf of the employee, they can make representations, offer relevant supplement","cbCaim6DaxlBBfJR","https://ap.wps.com/l/cbCaim6DaxlBBfJR","docx",197625,44,"English","# Quick Reference Guide\n## What is a Workforce Investigation?\n# Roles and Responsibilities\n## The Role of the Case Manager\n## The Role of the Investigating Officer\n## The Role of the People Operations team\n## The Role of the Trade Union Representative\n# Organisation/Case Managers Preparation\n## Deciding if an Workforce Investigation is Necessary\n## Where informal resolution is not possible or not successful\n## Initial Fact Finding Assessment\n## Criminal Proceedings","[{\"question\":\"What is the purpose of a workforce investigation under this procedure?\",\"answer\":\"It is a systematic, formal review that establishes the facts about a workforce concern. It should be linked to a specific workforce policy or procedure to support resolution of employee relations issues.\"},{\"question\":\"What are the responsibilities of the case manager?\",\"answer\":\"The case manager leads and manages the investigation through to timely conclusion. They commission the investigation, appoint the investigating officer, agree terms of reference, review practice restrictions/redeployments, liaise with safeguarding when needed, and decide next steps with People Operations at the end.\"},{\"question\":\"What is the investigating officer’s role regarding proving guilt?\",\"answer\":\"The investigating officer presents a fair and impartial overview and gathers evidence for an investigation report. For disciplinary sanctions, they do not prove guilt; they investigate whether there is a case to answer.\"},{\"question\":\"When must the Trust involve Counter Fraud and potential criminal proceedings?\",\"answer\":\"If allegations raise the possibility of fraudulent activity, they must be reported to the Trust’s Counter Fraud team for further advice. Counter Fraud may investigate and may report to the police before the Trust starts its internal investigation.\"}]","Workforce Investigation Procedure - Procedure for workforce investigations | DOCX"]