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DisciplinaryPolicyandProcedureAugust2016

Appendix2

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CONFIDENTIALDISCIPLINARYINVESTIGATIONREPORT

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Thistemplatereportformatisforguidancepurposesonlyandmaybechangedtoreflecttheindividual

circumstancesandneedsofacase

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epar

tment/School 

Nameofemployeesubjectto

investigation



Allegation/Issue

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Inve

stig

atin

Mana

er 

HRsup

ort 



Back

round

 Identifyhow the situation cametolight, whatactions havealreadybeen taken priortothe

investigationcommencing,whatcommunicationshavetakenplace.

 Providebriefdetailsoftheemployeesubjecttotheinvestigation,theiremploymenthistory,

currentrole,etc.

 Noteifemployeeissuspendedandwhenorifthereareanyspecificchangesinplacetoallowthe

investigationtotakeplace

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RemitofInvest

ation

 Definetheremitofinvestigation,i.e.whatallegations/concernswereidentifiedasinneedof

investigation(provideconcisebulletpointslistofallallegations,thatwillbeexpandeduponinthe

‘Findings’section.

 Statepolicyunderwhichtheinvestigationwascarriedout(e.g.DisciplinaryPolicyandProcedure)



Inve

stig

ationProcess

Explainhowtheinvestigationprogressed,includingreasonsfordecisionswhichweremadeandthe

directiontheinvestigationwentincluding:

 Abriefdescriptionofthemethodsusedtogatherinformation

 Atimetableofevents

 Whatdocuments/evidencewerereviewed



Findings

Provideasummaryofthefindingsandobservations:

 Presentthefindingsseparatelyforeachallegation/concerninturnbyconfirmingthefacts

establishedbytheinvestigation,identifyingthesequenceofevents,crossreferencingany

documentationandhighlightinganymitigatingfactors

 Avoidusingvastextractsfromstatements–quotedirectlyfromthestatementswhereitis

necessary.Includesignedcopiesofstatementsinthereportappendicesandrefertothemas

necessary.

 Explainhowsignificanttheevidenceis

 Iftheevidenceisinconclusiveorthereisnoevidencetosubstantiateanallegationthensayso.

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