The policies on this website are from phase 1 of the ‘Once for Scotland' Workforce Policies Programme.
Further policies will become available in later phases.

Workforce Policies Investigation Process : flowchart text alternative

When concerns, incidents or complaints are identified, this text alternative for the Workforce Policies Investigation Process flowchart [PDF] provides an accessible summary of the process to be followed.

Overview of chart structure

The chart starts with a concern, incident or complaint identified. Then chart steps through the five stages of the investigation process:

  1. Pre-investigation
  2. Initial investigation
  3. Investigation planning
  4. Investigation
  5. Conclusion of investigation

At the conclusion of the investigation, there are three possible outcomes:

  1. Allegation not upheld/no further action
  2. Learning outcomes
  3. Referral to a formal panel/convene formal hearing under appropriate policy

If the outcome is learning outcomes, there are two options:

  1. Agree a learning plan
  2. Use another workforce policy

After a learning plan is agreed, the question is asked, learning outcome achieved? If learning outcomes achieved have not been achieved, then the flow joins up with use another workforce policy, otherwise, the process ends.

Workforce Policies Investigation Process flowchart

The chart starts with a concern, incident or complaint identified. Then the question is asked, is there a need to make the situation safe? If the answer is no to the question, is there a need to make the situation safe, then progress to the pre-investigation stage where the flow connects to the step, meet with employee to let them know a concern was raised and offer support. To go to this step, follow the next link otherwise skip the next link. Jump to the step, meet with employee to let them know a concern was raised and offer support.

If the answer is yes to the question, is there a need to make the situation safe, then there are two possible options:

  1. The question is asked, suspension or alteration of duties required?
  2. The question is asked, consider referral to external agency?

If option 1 and the answer is yes to the question, suspension or alteration of duties required, then follow suspension guidance.

If option 1 and the answer is no to the question, suspension or alteration of duties required, then progress to the pre-investigation stage. The flow connects to the step, meet with employee to let them know a concern was raised and offer support. To go to this step, follow the next link otherwise skip the next link. Jump to the step, meet with employee to let them know a concern was raised and offer support.

If option 2 and the answer is no to the question, consider referral to external agency, then progress to the pre-investigation stage. The flow connects to the step, meet with employee to let them know a concern was raised and offer support. To go to this step, follow the next link otherwise skip the next link. Jump to the step, meet with employee to let them know a concern was raised and offer support.

If option 2 and the answer is yes to the question, consider referral to external agency, then proceed with internal investigation when agreed by external agency. Then progress to the pre-investigation stage.

Pre-investigation stage

Then meet with employee to let them know a concern was raised and offer support, then progress to the initial investigation stage.

Initial investigation stage

Then identify witnesses and consider requesting statements, then appoint investigation team then progress to the investigation planning stage.

Investigation planning stage

Then investigation team meets to formally plan the investigation and liaise with the employee or employees, then progress to the investigation stage.

Investigation stage

Then hold initial meetings with the employee or employees under investigation and the complainant or complainants. Then investigation meetings with witnesses, then investigation meetings with the employee or employees under investigation. Then the question is asked, is further information required? If the answer is yes to the question, is further information required, then request evidence or hold further witness meetings.

If the answer is no to the question, is further information required, then collate and consider information, then progress to the conclusion of investigation stage.

Conclusion of investigation stage

Then investigation report is finalised, then there are three possible outcomes:

  1. Allegation not upheld
  2. Referral to a formal panel
  3. Learning outcomes

If outcome 1, allegation not upheld, then no further action is required, and the process ends.

If outcome 2, referral to a formal panel, then convene formal hearing under appropriate policy, then the process ends.

If outcome 3, learning outcomes, there are two options:

  1. Agree a learning plan
  2. Use another workforce policy

If option 1, agree a learning plan then the question is asked, learning outcome achieved? If the answer is yes to the question, learning outcome achieved, then the process ends.

If the answer is no to the question learning outcome achieved, then the flow connects outcome 2, use another workforce policy. To go to this step, follow the next link otherwise skip the next link. Jump to the step, use another workforce policy.

If option 2, use another workforce policy, then the investigation is concluded.

Outlines the investigation process and supports decision-making for NHSScotland Workforce Policy cases.

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