Module 2

Role of the Investigator Throughout the Investigation Process

Module Introduction

  • Overview of the internal investigation module.

  • Emphasis on the multiple roles an investigator has during various investigation stages.

  • Exploration of the goals associated with each component of internal investigations.

  • Discussion on the importance of weighing the upsides and downsides of actions taken during investigations.

Goals Throughout the Investigations Framework

  • Importance of understanding goals in relation to each part of the investigation process.

  • Professor Brecker introduces the impact of these goals on conducting investigations.

Six Circles of Investigation Framework

  1. Complaint Circle

    • Goal: Identify issues being raised.

  2. Investigation Circle

    • Goal: Gather information regarding the issues.

  3. Conclusion Circle

    • Goal: Determine if there are policy violations.

  4. Outcome Circle

    • Goal: Establish appropriate actions based on findings.

  5. Implement Circle

    • Goal: Communicate outcomes, and take remedial or preventive measures.

  6. Evaluate Circle

    • Goal: Ensure the overall investigation process is effective.

  • Importance of structuring goals to allow for fair and thorough investigations.

  • Reflection on how separating goals enables focus on roles throughout the process.

Overview of the Internal Investigations Process Tool

  • A structured guide for conducting internal investigations using the six-circle framework.

  • Intentional approach ensures fairness and thoroughness in investigations.

Steps in Internal Investigation Process

  1. Identify the Issue

    • Understanding the complaints being raised.

  2. Investigate the Issues

    • Goal: Collect information about the issues.

  3. Determine the Outcomes

    • Goal: Identify the actions that should be conducted based on the investigation's outcome.

  4. Implement the Outcomes

    • Goal: Execute decisions and communicate outcomes.

  5. Evaluate the Process Overall

    • Goal: Review the overall effectiveness and fairness of the investigation process.

Describing the Role of the Investigator

  • Importance of understanding and defining the investigator's role in internal investigations.

  • Reflection activity: List five descriptors for the role of an investigator.

Common Terms Used to Describe Investigator Role

  • Analyst

  • Arbiter

  • Auditor

  • Compliance Officer

  • Critical, Curious, Detailed

  • Detective, Diligent, Discerning

  • Evaluator, Examiner

  • Fact Finder, Inquisitive, Insightful

  • Intuitive, Mediator, Methodical, Observer

  • Perceptive, Persistent, Questioner, Researcher

  • Resourceful, Skeptical, Sleuth, Systematic, Thorough, Tracker, Unbiased

The Role of the Investigator Throughout the Internal Investigations Process

  • The investigator’s role can evolve at different phases of the investigation.

Roles at Various Stages and Responsibilities

  1. Determine the Issue (Intake Interviews)

    • Responsibilities: Listening, questioning, taking notes, and maintaining objectivity.

  2. Investigate the Issues

    • Responsibilities: Organizing, identifying, gathering, prioritizing information while staying objective.

  3. Conclude the Investigation

    • Responsibilities: Analyzing information, assessing for objectivity, reaching conclusions, and documenting findings.

  4. Determine the Outcomes

    • Responsibilities: Developing options and making recommendations based on the outcome of findings.

  5. Implement the Outcomes

    • Responsibilities: Taking actions, meeting parties involved, remaining objective, and presenting outcomes.

  6. Evaluate the Overall Process

    • Responsibilities: Reviewing effectiveness, analyzing complaints for trends, and identifying training needs.

Interaction with Other Departments

  • Other departments may be involved in investigations, requiring coordination and collaboration.

Example of a Multi-Department Investigation

  • A patient complaint involving a nurse's sanitary practices:

    • Departments involved: Quality, Compliance, Environmental Health, Employee Relations.

    • Importance of experts: Gaining insights on policies from head nurses and coordination for interviews.

Collaborating with Various Investigators

  • Importance of understanding roles and processes between different departments.

  • Establish commonalities and identify efficiencies in practice.

  • Building relationships among investigators from various segments.

Weighing the Upsides and Downsides

  • Importance of thoughtfully considering actions taken throughout the investigation.

    • Professor Brecker emphasizes flexibility and adaptability in approaches.

    • Investigators should articulate reasons behind choices made during investigations.

Decision-Making Process

  • Reflect on the potential upsides and downsides before deciding on actions.

  • Maintain credibility by considering options deliberately.

Module Wrap Up

  • Expanded knowledge of internal investigation components.

  • Understanding the necessity of collaboration among investigators from different departments.

  • Importance of reflecting on the upsides and downsides of decision-making practices in investigations.