It is evident that workplace investigations are increasing, a trend influenced by a range of factors.
With a growing emphasis on workplace culture, and new laws regarding the prevention of sexual harassment in the workplace published by the EHRC (Equality Human Rights Commission), there is increased scrutiny on issues like discrimination and harassment.
As well as this, employees’ awareness of their rights and protections is increasing, and proposals to increase protection of whistleblowers in the NHS, will result in increased whistleblowing cases.
In the corporate landscape, companies seeking to maintain a positive reputation will further rely on investigations to bolster risk and quality management programs.
Investigator Techniques
But carrying out an internal investigation can be daunting if you are unsure of the best investigative techniques and strategies. Whether you are an HR manager dealing with employee misconduct or a healthcare manager investigating a patient safety incident, having a clear and effective approach to these investigations is key.
A poorly managed investigation can lead to reputational damage as well as leading to costly and lengthy legal claims that waste resources that could be better used to make services safer. Having a clear and effective approach coupled with attending refresher training in investigative techniques also helps maintain a fair and respectful workforce.
Our time as a leading independent investigation company has equipped us with expert insight on investigation techniques, tools and methods. The investigator techniques and strategies we’ve put together here can be applied to a wide range of investigations from those needing assistance with a patient safety investigation, help with a complex MHPS investigation, through to support managing a workplace disciplinary issue.
1) Set Strong Foundations
The first step in any investigation is to develop a clear plan and scope. Establishing clear terms of reference that are written clearly ensures that the scope, objectives, timeframe and the resources that will be required for any investigation are clearly understood by all. The scope will also set out how the final report will be documented and reported as well as setting any confidentiality measures to protect sensitive information within the findings.
Following a clearly defined process ensures that the investigation is fair and objective, minimises the risk of legal challenges, improves efficiency and timeliness as well as enhancing organisational credibility and trust.
2) Assemble The Right Investigation Team
Selecting the right team members is critical to the success of any investigation. A well-rounded team brings diverse perspectives and expertise, ensuring a thorough and impartial investigation.
It is beneficial to assemble a team who are trained in the investigation process and have experience across a range of business functions, for example, management, legal and HR, as it ensures a consistent approach to the investigation process. Equally important when selecting a team is excluding those that are directly or indirectly involved so any investigation remains impartial.
Setting up a buddy system where experienced investigators act as a mentor for inexperienced investigators not only ensures succession planning but also provides a sounding board to discuss any problems or issues that arise during the process. In turn this then helps to quality assure the investigation report.
3) Treat Employees Fairly
A well executed investigation offers benefits other than simply uncovering the truth. Conducting investigations in line with all legal and regulatory requirements can reduce the risk of potential lawsuits from employees, regulatory fines and reputational damage. Investigations can have an emotional impact on those involved.
A fair and impartial process minimises those emotional risks as well as reduces the risk of any legal action and prevents unfair treatment of those accused if allegations are unfounded. Treating employees fairly helps to protect everyone involved so that any corrective actions can be put in place without bias.
A fair investigation is an important aspect of developing a Just Culture, which can boost employee morale and trust by showing the company takes issues seriously.
4) Ask The Right Questions During Interviews
Asking the right questions during the interview is critical as it directly impacts the reliability and accuracy of any findings. Using open ended questions at the start, for example, “Could you please describe what happened?” allows interviewees to provide their own narrative and allows them to relax into the process.
Using broad open ended questions also has the ability to build rapport and trust allowing interviewees to be open and honest with their answers. Once the interviewee has provided their side of the story, probing questions can be used to delve deeper into certain aspects, for example, “can you tell me more about…” or, “How did that make you feel?”
Questioning allows the investigative team to assess the credibility of each interviewee’s version of events, such as whether it remained consistent throughout the interview (Internal consistency) and whether it aligns with other evidence gathered in the investigation process, for example witness statements (external consistency).
How to frame questions is also important, using the 5Ws approach: Who? What? Where? When? And Why? helps to ensure that all relevant aspects of the incident are covered. Investigators can also employ the “ABC” mantra when questioning:
- Assume nothing: Do not make assumptions
- Believe nothing: Do not accept any statement at face value, seek other evidence to back statements up
- Check everything: Seek other evidence to back up statements through multiple sources and cross reference evidence.
5) Engage Families and Carers
It’s important to engage families and carers during the investigation process, especially within a healthcare setting. A patient’s family and carers have unique insights and understanding into the patient’s medical history that can provide context for the investigative team. Allowing families and careers to express their views and opinions not only helps build trust into the investigative process but can also reduce the emotional trauma families and careers associated with the incident.
By understanding the family’s perspective, the investigation team can gain a more comprehensive understanding of the incident and identify potential improvements to enhance patient safety.
6) Be Meticulous
Being meticulous is key for any investigation. This means being careful to follow the agreed scope and process of the investigation. It also means ensuring that information is gathered effectively (interviewing all relevant parties and gathering concrete evidence) and recorded faithfully and accurately. These steps will help demonstrate that the investigative process was fair and impartial and that its findings are accurate.
A detailed investigation report that shows how well the investigation was undertaken will be a strong defence against any appeal or legal challenge.
7) Paving The Way For Progress
It’s important to not just explain the root causes of an incident but to also outline preventative measures to stop similar issues reoccurring. This might be through updating policies, processes and systems to rolling out additional training. Creating a continuous learning culture within your organisation shows a commitment to safety, fairness and employee wellbeing.
The investigation report should clearly outline the findings and provide a roadmap for positive change including timelines, responsibilities and resource allocation.
In Summary
These seven key techniques and strategies will help to ensure that any outcomes of an investigation are fair and unbiased. Not only will your investigation identify the root causes of the incident but also provide solutions for change contributing to a safer working environment.
This has been a brief overview of our top investigative techniques and strategies. However, it’s crucial to acknowledge that successful investigations are complex, often involving sensitive issues that necessitate expert handling.
We can help carry out an independent investigation, but if you would like to improve your investigation skills, attending a training course can help to develop investigators’ knowledge and skills to ensure a fair and consistent approach to investigations.
Our range of investigation training courses have been created using our extensive experience, and include a patient safety incident investigation training course for those carrying out reviews such as nurses, doctors, managers and associated healthcare workers. We also provide a workplace training course to ensure a fair and robust investigation is delivered when addressing workplace issues, as well as an MHPS case manager training course which explores the extensive knowledge and skills required in the role of Case Manager.
When it comes to an investigation, whatever assistance your organisation requires, Verita can support your team ensuring the right techniques and methodologies are fully implemented. To find out more about how we can help, please book a free consultation or contact Ed Marsden on 020 7494 5670 or [email protected].
1 thought on “Our Top 7 Investigation Techniques and Strategies”
There is a clear and insightful overview of top investigative techniques in this article. A valuable read for anyone interested in gaining a better understanding of modern investigative practices.