the investigation process. Within the NHS there are three recognised levels of systems-based investigation (currently referred to as RCA investigation). These are described in the table below. Information in this table provides an outline of the levels of systems-based investigations recognised in the NHS (currently referred to as RCA investigation). Within the NHS, most serious incidents are investigated internally using a comprehensive investigation approach. Resources to support systems-based investigation in the NHS are available online from: For further information relating to the circumstances and requirements for commissioning independent investigations see appendix 3. Level Application Product/ Owner Timescale for outcome completion Level 1 Suited to less Concise/ compact Provider organisation complex incidents investigation (Trust Chief Concise internal which can be report which Executive/relevant investigation managed by includes the deputy) in which the individuals or a small essentials of a incident occurred, Internal group at a local level credible providing principles investigations, investigation for objectivity are whether concise or upheld comprehensive must be completed Level 2 Suited to complex Comprehensive Provider organisation within 60 working issues should investigation (Trust Chief days of the incident Comprehensive be managed by a report including Executive/relevant being reported to internal multidisciplinary all elements of a deputy) in which the the relevant investigation team involving credible incident occurred, commissioner experts and/or investigation providing principles (this includes specialist for objectivity are All internal those with an investigators where upheld. Providers may investigation independent applicable wish to commission should be element or full an independent supported by a independent investigation or clear investigation investigations involve independent management plan commissioned by members as part of the provider) the investigation team to add a level of external scrutiny/objectivity 3 Required where the Comprehensive The investigator and 6 months from the Independent integrity of the investigation all members of the date the investigation investigation is likely report including investigation team investigation is to be challenged or all elements of a must be independent commissioned where it will be credible of the provider. To difficult for an investigation fulfil independency the organisation to investigation must be conduct an objective commissioned and investigation undertaken entirely internally due to the independently of the size of organisation organisation whose or the capacity/ actions and processes capability of the are being available individuals investigated. and/or number of organisations involved (see Appendix 1 and 3 for further details)
the investigation process. Within the NHS there are three recognised levels of systems-based investigation (currently referred to as RCA investigation). These are described in the table below. Information in this table provides an outline of the levels of systems-based investigations recognised in the NHS (currently referred to as RCA investigation). Within the NHS, most serious incidents are investigated internally using a comprehensive investigation approach. Resources to support systems-based investigation in the NHS are available online from: For further information relating to the circumstances and requirements for commissioning independent investigations see appendix 3. Level Application Product/ outcome Owner Timescale for completion Level 1 Concise internal investigation Suited to less complex incidents which can be managed by individuals or a small group at a local level Concise/ compact investigation report which includes the essentials of a credible investigation Provider organisation (Trust Chief Executive/relevant deputy) in which the incident occurred, providing principles for objectivity are upheld Internal investigations, whether concise or comprehensive must be completed within 60 working days of the incident being reported to the relevant commissioner All internal investigation should be supported by a clear investigation management plan Level 2 Comprehensive internal investigation (this includes those with an independent element or full independent investigations commissioned by the provider) Suited to complex issues should be managed by a multidisciplinary team involving experts and/or specialist investigators where applicable Comprehensive investigation report including all elements of a credible investigation Provider organisation (Trust Chief Executive/relevant deputy) in which the incident occurred, providing principles for objectivity are upheld. Providers may wish to commission an independent investigation or involve independent members as part of the investigation team to add a level of external scrutiny/objectivity 3 Independent investigation Required where the integrity of the investigation is likely to be challenged or where it will be difficult for an organisation to conduct an objective investigation internally due to the size of organisation or the capacity/ capability of the available individuals and/or number of organisations involved (see Appendix 1 and 3 for further details) Comprehensive investigation report including all elements of a credible investigation The investigator and all members of the investigation team must be independent of the provider. To fulfil independency the investigation must be commissioned and undertaken entirely independently of the organisation whose actions and processes are being investigated. 6 months from the date the investigation is commissioned
serious-incidnt-framwrk-upd2.docx