Start as early as possible
Last Updated 02/02/2021
Starting your investigation as soon as possible will help prevent risks to people using services.
Starting early means you’ll be able to gather detailed evidence while it’s still available, and take statements from people while their recollections are still fresh.
You may need to take immediate steps to ensure safe care for people using services before or while you conduct the investigation.
Sometimes the start of your investigation may depend on the outcome of a third party investigation, such as a police investigation. In these cases, it’s important to manage any risks while you wait for an outcome. Also consider whether it’s appropriate to keep the professional involved regularly informed about timescales and progress.
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- Last Updated: 02/02/2021
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Managing concerns
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Deciding to make a referral
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Concerns you should refer to us
- Concerns you should refer to us - overview
- Concerns that pose a serious risk to people who use services and would be difficult to put right
- Concerns where local action can’t effectively manage any ongoing risks to people who use services
- Concerns requiring us to take action to protect public confidence in the professions and uphold standards
- Considering evidence of insight and strengthened practice
- Deciding whether to refer concerns related to health
- Ensuring your decisions to refer are fair and unbiased
- Who should approve and make the referral
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Concerns you should refer to us
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Referral Scenarios
- 1. Health condition – employer can manage the concerns locally while investigating
- 2. Verbal abuse of patient – employer can manage the concerns locally while investigating
- 3. Alleged theft of medication – employer can manage the concerns locally while investigating
- 4. Alleged unprofessional behaviour: concerns being suitably managed locally
- 5. Concerns about clinical competence – local investigation should conclude before referral
- 6. Concerns about clinical competence – referral should be made before conclusion of local investigation.
- 7. Concerns about putting patients at risk and falsification of records – immediate referral required
- 8. Concerns about physical abuse of patient – immediate referral required
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Conducting a local investigation
- Overview
- Dealing with concerns involving agency staff
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Guiding principles
- Guiding principles - overview
- Promote a just culture
- Have clear policies and procedures and follow best practice guidance
- Have a clear plan and terms of reference
- Start as early as possible
- Be objective
- Listen to people who use services, keep them informed, and take their information and views into account
- Support staff and encourage openness without blame
- Take equality, diversity and inclusion into account
- Keep records of all evidence and decisions
- Avoid delays and stick to a reasonable timeframe
- During your investigation
- Concluding your investigation
- Managing concerns
- Supporting your employees