First Level Investigation Introduction

Donna Dark

What is a first level investigation?• Preliminary review• Gathering of evidence• Determining further action that may be required• Determining notification requirements• Can be used for any type of incident/event including

complaint investigations, staff grievances, OHS incidents, resident care incidents/allegations etc

• Template is being trialled until end of November. Feedback will be used to review form.

• Formal First Level investigation training to be conducted in February 2011. 1 day course.

What it is not…….

• CSI Culburra, NCIS Peakhurst etc

Level of reporting

First Level Investigation

Senior Manager/Specialist Investigation/Fact finding process (Ops Level, HR)

Critical Incident Investigation

Escalation of incident review

• First Level investigations may result in an escalation to the next level, or even to a critical incident investigation.

• However, for critical incidents, it is likely that the event or incident will trigger a critical incident review to commence within 48hrs.

First things first

• Everyone is safe• Make relevant notifications• Residents/Clients/Staff medical needs attended to (if

relevant)• If involving a resident, file is removed from general

care area for review after staff have made their notes following incident. No later than 4 hrs following a serious incident (ie hospitalisation).

• Staff do not complete shift without completing relevant incident forms unless they have been directly impacted by the event.

Next steps

• The investigator is to be neutral. No personal views or statements are to be expressed about the matter being investigated.

• If the investigator is involved in the incident they cannot investigate it.

• The investigation is not to be discussed outside of reporting the outcome and details to relevant senior management staff. All staff are to b reminded of this.

• Any documentation related to the investigation is to be kept securely at all times.

Using the first level investigation template

Incident details• Info should be gathered from relevant incident forms

already completed.• Co-ordinators who have been nominated as the

investigator are to complete the report and send it to their Area Manager.

• If the incident is more serious or there is a conflict of interest, the Area Manager may complete the report.

Using the first level investigation template

• To complete the incident type, select the drop down field.

• This report is to be typed- no hand written reports are allowed.

Person investigating the incident• May be the same person completing the report, but

it may not. You may delegate aspects of the investigation, but determine you are responsible for completing the overall report.

Using the first level investigation template

Description of incidentNote the note. If a staff member has made an allegation of abuse (Physical or Sexual) against another staff member, you have a legal obligation to protect their identity.Therefore in this report, you may refer to the informant as “Staff Member A, X Y”.It must not be disclosed during the course of the investigation.An allegation this serious will require a formal interview with the informant and senior management. The staff person will still be referred to as Staff person X. If there are a number of staff making this allegation, similar coding is to be followed.

Using the first level investigation template

Description of incident• Review the information provided in the incident

form.• You may have also gathered information from staff

witness statements which assist you to form a picture of what has occurred.

Using the first level investigation template

Investigation Activities• This is a tick sheet to remind the investigator of all necessary

steps regarding an incident, particularly mandatory reporting requirements.

• See later presentation re Elder Abuse reporting and documentation requirements.

• Notifications required (form 187 or 701)Preliminary Findings• Discrepancies/conflicts in accounts provided?• Staff misconduct issues• Elder Abuse - see later presentation re Elder Abuse reporting

and documentation requirements.

Using the first level investigation template

Action taken• All incidents – closing the loop• Risk assessments, training referrals, communication

re change to Policy at Area meeting..Further Action required• This may involve a more in depth review as

indicated earlier.• There may be linkages required with the Risk

Register and the CI Plan for the Area.

Witness Statement• Can be handwritten or typed• Checklist at back must be completed• Person is to be provided with a copy of their statement,

reminded it is to remain confidential.• Statement is to be in their own words-no prompting or

coaching by others.• Statement is to be written in a quiet place, away from other

staff.• Investigator should receive the statement and arrange for it to

be copied.• Statements form part of report documentation.• Statements will be returned to HR files in Central Records

once investigation is complete.

Records Management

• Investigation reports and associated documents to be sent to Regional Manager on completion to review and arrange admin staff to store on TRIM.

• Hardcopies are not to be kept on sites wherever possible. If required, they must be secured.

• Pathway to be provided to relevant Area Manager.• If the investigation report is required during an

Agency/DOHA visit, it can be accessed via TRIM and emailed to person required to provide it for viewing by the relevant Agency.