INVESTIGATIVE TECHNIQUES.

Graham Jones

V1.19

OBJECTIVES.

⚫ Recognise the investigative process.

⚫ Recognise how to apply an “Investigative Mindset” to the investigation process.

REASON FOR INVESTIGATION.

⚫ Breaches of policy/procedure.

⚫ Risk to members of the public.

⚫ Civil/criminal action.

⚫ Show transparency & trust.

PURPOSE OF AN INVESTIGATION.

⚫ Gather evidence to establish the facts and circumstances.

⚫ Establish If there is a case to answer (misconduct, a criminal offence, civil proceedings) or no case to answer.

Proportionality will be key when deciding what evidence should be collected.

IMPORTANT CONSIDERATIONS.

⚫ Human Rights.

⚫ Public Interest Disclosure Act 1998.

(Protects employee whistleblowers)

⚫ Police and Criminal Evidence Act.1984. (PACE) (Especially power to search ...) (is it in the contract?)

⚫ Regulation of Investigatory Powers. 2000. (RIPA) (‘spy’ cameras – who else can be seen?)

IMPORTANT CONSIDERATIONS.

⚫ Criminal Procedure and Investigations Act 1996 (CPIA)

(need to keep and disclose information)

⚫ Discipline/Civil Law.

⚫ Policy & Procedure.

⚫ Suspension. (Know your policy)

INVESTIGATION.

⚫ REMEMBER:

⚫ You have obligations as the investigator.

⚫ There are always opportunities for the

person/subject of the investigation.

⚫ (COST BENEFIT ANALYSIS)

INVESTIGATION.

⚫ The investigator needs to be:

⚫ Capable.

⚫ Impartial.

⚫ Clear about the terms of reference. (what EXACTLY am I investigating?)

⚫ Focussed on the investigation.

INVESTIGATION - Your obligations

⚫ Investigations should be conducted with integrity, commonsense and sound judgement.

⚫ Actions taken during an investigation should be proportionate to what is under investigation.

⚫ The success of an investigation relies on the goodwill and cooperation of those involved.

THE INVESTIGATION PROCESS.

5WH FORMULA.

By applying the 5WH formula to the material, investigators can pinpoint specific gaps in the case which may suggest potential lines of enquiry.

Who:

⚫ are the victim(s), witnesses, and subjects(s)?

Where:

⚫ did the incident take place?

THE INVESTIGATION PROCESS.

⚫ 5WH FORMULA.

What:

⚫ has happened?

When:

⚫ did the incident take place? If no exact time then parameters.

Why:

⚫ was this incident committed in this location against this victim/organisation at this time? (Grudges etc)

How:

⚫ was the incident committed? Assess the skills/knowledge used by the person who did the act.

“THE GOLDEN HOUR”.

⚫ The Golden Hour is a term for the period

immediately following the incident or

when you are made aware of an

allegation when material is abundant and

readily available to the investigator.

“THE GOLDEN HOUR”.

⚫ Log:

Start and keep a log to include - Decisions and rationale, risk assessment. Hindsight is wonderful but not always allowed at a court

⚫ Physical Evidence:

Drugs, Documents, CCTV, Computers, Ambulance, Hospital Ward. Seize, store, preserve for examination …

“THE GOLDEN HOUR”.

⚫ Intelligence:

Identify, prioritise, maximise, use.

⚫ Prevent Contamination:

Victims, scenes, witnesses, those under

investigation, suspension.

INVESTIGATION.

HANDOVER:

⚫ When the responsibility for an investigation passes from one investigator to another the handover should

be explicit and documented.

⚫ This will ensure that all investigative opportunities are progressed.

DECISION MAKING.

⚫ Health professionals need to have skills to identify and assess information from a variety of evidence sources to help them make decisions about care. So you already do this!

⚫ Personal and professional development kept up-to-date, reviewing your practice on a regular basis. You are doing this now!

⚫ Being able to find and critically examine evidence to

determine best practice supports you and your team to work more effectively with patients.

THE INVESTIGATION REPORT.

⚫ The investigation report is the main, if not only, source of information and explanation for the outcome of an investigation.

⚫ It should be unbiased, objective and include only relevant information.

⚫ If you have been asked to make recommendations give careful consideration to whether a matter has been established:

THE INVESTIGATION REPORT.

⚫ Recommendations can also be used by the

person under investigation as a challenge.

⚫ “Lessons Learnt”, future practice should be

included where it has been identified there is a

need for them.

⚫ However investigators should not feel every

investigation has to produce learning.

THE INVESTIGATOR.

Never lose sight of the fact that it is your duty as

the investigator to:

⚫ “ESTABLISH THE FACTS”

⚫ Your work will be scrutinised.

⚫ There is no substitute for good planning and

preparation.

PLANNING AND PREPARATION.

⚫ The aim of the investigator is to maximize the

amount of material that is collected.

⚫ Some physical material may be lost or

destroyed. (CCTV?)

⚫ “Get it right first time”. You may not get

another chance.

CONSTANT EVALUATION.

Apply an investigative mindset:

Applying the investigative mindset to the examination of all sources of material will ensure that:

⚫ The maximum amount of material is gathered;

⚫ Its reliability is tested at the earliest opportunity;

⚫ Immediate action is taken in relation to it;

⚫ Relevant records are made;

⚫ The material is appropriately stored.

EXHIBIT MANAGEMENT.

⚫ During the course of an investigation, the investigator will gather material.

⚫ This material may used in proceedings (as exhibits) You MUST maintain its integrity and provenance.

⚫ The investigator must maintain accurate and comprehensive records of all such material. (exhibits).

EXHIBIT MANAGEMENT.

As each exhibit is recovered during an investigation, a record should be compiled detailing the:

⚫ Precise description of the material recovered;

⚫ Precise location of recovery;

⚫ Time, day and date of recovery;

⚫ Individual who produces it;

⚫ Individual who recovered it;

⚫ Location and method of storage.

OBJECTIVES.

⚫ Recognise the investigative process.

⚫ Recognise how to apply an “Investigative Mindset” to the investigation process.