Example investigation plan

This page has an example investigation plan for organisations (including the use of a fictional scenario) to assist with investigating reportable conduct concerns. An investigation plan outlines your process and should be created before the investigation begins.

It will include detail about:

• the investigation's purpose
• the tasks required to carry out the investigation to the necessary standard
• who will be responsible for these tasks, including whether or not the organisation will use an independent investigator and what their role will be (e.g. making or recommending findings)
• relevant timeframes.

When developing an investigation plan, the investigator should keep in mind that the primary goal is to establish facts. To support the information gathering process, an investigation plan should:

• clearly define the allegations, and
• identify relevant sources of information and evidence (e.g. people who may have witnessed the alleged conduct, relevant records, CCTV).

Questions to ask when developing an investigation plan may include:

• How will the child or young person involved in the reportable conduct concern be included and supported throughout the entirety of the investigation process?
• How will any perceived or actual conflicts of interest be identified and managed?
• What is the specific nature of the allegations, and what bearing does that have over how the investigation should proceed?
• How long is the investigation likely to take to be completed?
• What cultural sensitivities need to be accounted for in how the investigation runs, and what resources are necessary to address them?
• What will be the involvement of relevant parties or agencies, such as the Independent Regulator and other regulatory bodies?

The scenario described in the below example is fictional and any similarities to persons living or dead, or actual events is purely coincidental.

Matter details

Overview

The subject of the allegation is Mr Ray Doe, a secondary teacher at Leaf Independent School Tas 7000. It is alleged that Mr Doe engaged in grooming and/or sexual misconduct against two children between 1 September 2023 and 18 November 2023. Both children, Kelly Brian ‘KB’ and Holly Grey ‘HG’, are sixteen and are both students of Mr Doe (note that both students should be referred to by their initials, where possible). The allegation was overheard by another teacher, Mo Chi. It is alleged over a period of about 6 weeks, Mr Doe sent a number of inappropriate messages to the two students on social media, and when both students asked him to stop, Mr Doe responded that he was ‘drunk’ and ‘didn’t mean it’. He then sent a number of abusive text messages to both students when they avoided Mr Doe at school. The alleged conduct falls within the definition of grooming and sexual misconduct in the Child and Youth Safe Organisations Act 2023. If substantiated, the conduct is also a breach of school policy including the Child Safe Code of Conduct and the Social Media Policy. The Independent Regulator, Registration to Work With Vulnerable People Registrar, Tasmania Police, and the Strong Families, Safe Kids Advice and Referral Line will be notified of the allegations against Mr Doe.

Purpose of investigation

This will primarily be to find facts in relation to an allegation of reportable conduct.

To establish whether, on the balance of probabilities, the subject of the allegation committed the conduct alleged, and therefore committed reportable conduct and a breach of school policy.

Findings will be made by Investigator, Gia Smith.

Decision-maker

This is the person responsible for making the final decision. It may be different to the person investigating. For example, where an organisation engages an independent investigator.

Gia Smith (Principal). Contact details above.

Conflicts of interest

This might be actual, potential or perceived.

N/A

Management strategies for conflict of interest

Where there is a conflict of interest that can be managed, outline how this will be done.

N/A

Reporting required to regulatory bodies

Include here any reporting bodies who might need to know about the allegation. The list below is not inclusive of all regulatory bodies.

Communication with the alleged victim(s) about process

If the concern relates to possible criminal conduct, include here whether you have communicated to the alleged victim(s) or their family if police have been notified.

Spoke with KB and HG in person. Indicated to them that Tasmania Police had been notified of the allegation and they may be contacted in the future to speak with police if they choose to. Also informed KB and HG that a report was being prepared for the Independent Regulator. The students identified regular phone calls as their preferred way to remain updated on the investigation.

Support offered

At a minimum, contacts for support services should be offered to the subject of the allegation, and the alleged victim(s). Include here any additional cultural sensitivities that must be considered throughout the investigations, and any additional support that might be required.

Support services list offered to alleged victims, subject of allegation and witnesses. All interviewees offered a support person to be present at time of interview.

Allegations

Allegations should be considered individually and numbered in a way that makes each allegation including each instance of a type of reportable conduct easy to identify.

Subject of the allegation

Risks and possible mitigation strategies

Include all risks you can identify at this stage. You can add more if you become aware of them.

Timeframes and milestones

Communication Plan

All parties should be kept informed at each stage of the investigation. Communication methods may include verbal and/or written correspondence.

Information obtained prior to commencement of investigation

Who made and received the complaint or observed the alleged conduct.

Mo Chi (year 10 Art teacher) heard KB and HG discussing Mr Doe’s conduct.

Possible witnesses

Include here anyone who may be able to assist with the investigation (such as the subject of the allegation and the alleged victim and any children or young people that may be witness to the incident/s).

Possible evidence

List here the pieces of evidence that might assist with the investigation (such as written notes, CCTV, or digital documents).

Evidence summary

To be filled in once each interview has been conducted.

Information obtained in interviews

Summarise evidence from interviews with witnesses.

Document collection

All interviews will be recorded.

Copies of transcriptions to be saved securely in line with the school’s record management policy.