This step-by-step guide will help you develop a good investigation plan.
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Step 1
Make sure the plan includes your agreed communication plan (and any reasonable adjustments that are needed) and sets out how and when you will update all the parties involved.
Step 2
Set out the issues to be investigated that you have agreed with the person making the complaint.
Step 3
Set out the outcomes requested.
Step 4
Include an assessment of risk and consideration of any broader public interest concerns (taking account of other individuals who may be affected by the same issues, and any systemic concerns).
Step 5
Set out the evidence you will need to obtain and consider in order to address each issue. This will always include:
- evidence to establish what happened
- evidence to establish what should have happened.
Step 6
If you are delegating any parts of the investigation to someone else, include:
- details of who that is
- what exactly you are asking them to investigate, and how
- the agreed timescale for them to complete and send you their response.
Step 7
If the complaint involves a specialist area or technical matters, include:
- details of who will give you a view, on behalf of your organisation, on whether the service provided was appropriate (they should be suitably qualified but not involved directly in the issues complained about).
Step 8
Include estimated timescales for:
- completing your investigation
- securing quality assurance and agreement for any remedies you are proposing
- sharing what you have found (your initial views) with the parties involved and asking for their comments
- considering final comments and completing your investigation
- drafting your final response to the complaint
- securing final quality assurance and sign off.