Step-by-step guide: develop a good investigation plan

Make sure the plan includes your agreed communication plan, setting out how and when you will update the parties involved and any reasonable adjustments that are needed.

Set out the issues to be investigated, which you have agreed with the person making the complaint.

Set out the outcomes requested by the person making the complaint.

Include an assessment of risk and consideration of any broader patient safety or public interest concerns (taking account of other individuals who may be affected by the same issues, and any systemic concerns).

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.

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 completion and submission of their response.

• If the complaint involves clinical matters, include details of who will provide you with a view (on behalf of your organisation) on whether the care or service provided was appropriate. This should be someone suitably qualified who has not been directly involved in the person’s care.
• Include estimated timescales for:
  • sharing your findings with the parties involved and asking for their comments
  • completing your investigation
  • drafting your final response to the complaint
  • securing quality assurance and sign off by the responsible person, or their delegate.