Lesson 4 – Fair and Impartial Investigations

4.1 Planning the investigation

The complaint handler should identify:

• Each separate allegation.
• The facts that must be established.
• Applicable contracts, policies and procedures.
• Relevant legal or regulatory obligations.
• The evidence required.
• The employees or third parties who should be consulted.
• Any conflicts affecting the investigator’s independence.
• The anticipated investigation timescale.

4.2 Investigator impartiality

Where possible, the complaint should be investigated by someone who:

• Was not directly involved in the events.
• Has sufficient authority and competence.
• Does not have a personal interest in the outcome.
• Can review the evidence objectively.
• Has access to relevant records.

A manager should appoint another investigator if a genuine or perceived conflict exists.

4.3 Obtaining employee information

Relevant employees should be asked to:

• Provide their account promptly.
• Identify supporting records.
• Separate recollection from assumption.
• Explain any deviation from normal procedure.
• Preserve relevant evidence.
• Maintain confidentiality.

Employees should not collaborate to produce matching accounts or contact the complainant independently without authorisation.

4.4 Assessing evidence

Investigators should consider:

• Whether records were created at the time.
• Whether accounts are consistent with documents.
• Whether any evidence is missing.
• Whether policies and instructions were followed.
• Whether the customer received clear information.
• Whether the conduct was fair, transparent and professional.
• Whether the complaint reveals a wider compliance problem.

4.5 Reaching findings

Each complaint point should normally be recorded as:

• Upheld.
• Partially upheld.
• Not upheld.
• Inconclusive due to insufficient evidence.

A complaint should not automatically be rejected merely because the employee and customer provide different accounts.

Lesson activity

Learners review conflicting accounts of a viewing appointment and identify the additional evidence needed before reaching a conclusion.