Understanding the Impact of Employee Investigations on Those Who Lead Them: A Case Study from NHS Wales
Abstract
:1. Introduction
2. Background
3. Methods
3.1. Evaluation Design
3.2. Study Setting
3.3. Sample
3.4. Measures
- The multiple-choice question Q1 asked for the participant’s experience with employee investigations, measured by the number of cases overseen/undertaken. We encoded the responses in the following way: “None at all” → Group 0 (Not experienced), “1–5” → Group 1 (Moderately experienced), “6–20” → Group 2 (Experienced), and “More than 20” → Group 3 (Highly experienced).
- Questions Q2 to Q14 were categorical questions measured on a 5-point Likert scale. The participants were asked for knowledge and experience with the investigation process, harm, and systematic support. We encoded the responses as follows: “Strongly Disagree” → “1”, “Disagree” → “2”, “Neutral” → “3”, “Agree” → “4”, and “Strongly Agree” → “5”.
- Questions Q15, Q16, and Q17 allowed respondents to insert free text to express emotions, practical experiences, and lessons learned. Furthermore, the respondents were asked to share ideas for process modifications.
3.5. Data Analysis
4. Results
4.1. Impact on the Investigator: Investigators Report Experiencing Harm When They Conduct Employee Investigations
4.2. Perceived Support and Impact Knowledge: More Experienced Investigators Feel Better Prepared for Their Roles and Perceive to Better Understand the Implications of Employee Investigations for Individuals
4.3. Perceived Knowledge of the Investigation Process: Knowledge of the Formal Steps of an Employee Investigation Is Acquired Through Repetition; Nevertheless, the Investigation Process Needs to Be Clearer
4.4. Harm and Investigator Experience: Investigators Who Are Experienced and Well Versed in the Disciplinary Process Are Not Better Equipped to Protect Themselves and Others from Harm
4.5. The Perceived Role of the Organization in Harm Avoidance: More Experienced Investigators Are Not More Aware of the Organization’s Well-Being Priorities Regarding the Disciplinary Process or How to Address the Potentially Harmful Aspects of Investigations
5. Discussion
5.1. The Impact of Disciplinary Investigations on Investigators
5.2. The Indirect Impact of the Application of the Process
5.3. Reviewing Disciplinary Policies and Processes: Acknowledging Negative Impacts and Mitigation Strategies
6. Limitations and Strengths
7. Implications for Practice
8. Conclusions and Ideas for Further Research
Author Contributions
Funding
Institutional Review Board Statement
Informed Consent Statement
Data Availability Statement
Acknowledgments
Conflicts of Interest
Appendix A. Questionnaire/Survey
- Q1
- What is your experience, if any, of overseeing/undertaking employee investigations? Please indicate the number of cases overseen/undertaken. (None/1–5/6–20/More than 20).
- Q2
- The structures and processes of employee investigations are clear for all to follow.
- Q3
- Colleagues under investigation are currently well supported during and after the investigation.
- Q4
- Colleagues who are under investigation can sometimes be harmed by the process.
- Q5
- Colleagues who undertake/conduct the investigation are currently well supported.
- Q6
- Those undertaking the investigation can sometimes be harmed in the process.
- Q7
- I believe all of those involved in investigations have a good understanding of the process.
- Q8
- I have confidence in the employee investigation process.
- Q9
- I am fully supported and equipped in this area of my role.
- Q10
- I have good knowledge of the processes involved during an investigation.
- Q11
- I have a good understanding of how investigations can impact the individuals involved.
- Q12
- I am aware of how organizations can avoid harm to those being investigated and those leading investigations.
- Q13
- The ongoing well-being of the employee is a priority during the investigation process.
- Q14
- The organization supports the employee to re-integrate into the workplace following an investigation.
- Q15
- Have you sometimes been affected by an investigation process? If so, in what way?
- Q16
- What are some of the main issues you face when overseeing investigations?
- Q17
- What can be done to improve the investigation process for everyone involved?
Appendix B. Summary of Results
- Supplements
Sub-Themes | Anchor Quotes |
---|---|
Clearer process required | “Training and clarity of the process” could improve the investigation process. “Clear process, […], support, and training for all” could improve the investigation process. “Uncertainties” are a central issue overseeing investigations. |
Simple guidelines required | “Clarification, simplified guidelines, and flow charts” could improve the investigation process for everyone involved. “[…] Clearer materials to support managers from jumping to conclusions” could improve the investigation process. “[…] More structured formal paperwork” could improve the investigation process. |
Investigation process training required | “Lack of training in the investigation process” is a central issue overseeing investigations. “More in-depth training for IOs, more dedicated trained IOs […]” could improve the investigation process. “More training in the investigation process [on] how to investigate incidents with compassion and integrity” could improve the investigation process. |
IOs who understand the process required | “Finding experienced IOs” is one of the main issues overseeing investigations. “IOs [are] not fully understanding the process.” |
Sub-Themes | Anchor Quotes |
---|---|
Clearer process required | “[I] felt unclear of the process.” |
“Clear guidance for all involved in the process” could improve the investigation process. “Lack of confidence, [being] unsure of the process, and confusion around evidence gathering” are central issues overseeing investigations. “Clearer processes and easy ways of accessing support” could improve the investigation process. “Not [being] sure what information can be shared” is a central issue overseeing investigations. | |
“Knowing how much information can be shared/disclosed” is an issue overseeing investigations. | |
Simple guidelines required | “[…] Clear guidelines” could improve the investigation process for everyone involved. |
“Toolkits for all parties, […] and support for all parties” could improve the investigation process. | |
Investigation process training required | “Ensuring all involved in the process have received training in completing investigations –[from] chairing [to] hearing or [being a] panel member” could improve the investigation process. |
“Better training and resources for investigators/HR/line management […]” could improve the investigation process. | |
“Lack of understanding of IOs regarding roles and responsibilities” is one of the main issues overseeing investigations. |
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Grouping | N |
---|---|
Total number of survey respondents | 71 (100%) |
Workgroups | |
Clinicians (e.g., nurses, doctors, ward managers) | 7 (9.1%) |
HR (e.g., workforce business partners, organizational development) | 36 (46.7%) |
Management (e.g., directors, corporate finance, facilities) | 16 (20.8%) |
Staff side (e.g., trade union representatives) | 2 (2.6%) |
Other | 1 (1.3%) |
Unknown | 15 (19.5%) |
Number of investigations overseen or undertaken before the training event | |
None | 13 (18.3%) |
1–5 | 23 (32.4%) |
6–20 | 10 (14.1%) |
20+ | 25 (35.2%) |
Themes | Collection of Anchor Quotes |
---|---|
Investigators feel isolated. | “I have felt slightly isolated as an investigating officer.” |
“[I felt affected by the] lack of guidance and support, feelings of guilt, and feeling alone and totally responsible.” | |
“When chairing [a] disciplinary [meeting, I] could do with a debrief. […]” | |
“Some cases [are] really mentally traumatic. RCN [Royal College of Nursing] do[es] provide supervision, which is extremely helpful.” | |
Investigators experience increased stress levels and anxiety. | “Stress levels increased. The team relationships/dynamics [were] affected before/during/after [the investigation].” |
“[…] The length of time this [investigation] takes causes distress to both me and the staff member. […]” | |
“The pressure to complete can result in increased stress levels (pressure from self as well as stakeholders).” | |
“Stress, workload. Peer pressure to get the ‘right outcome’.” | |
“[…] Anxiety (myself) and sleep loss [are issues in the investigation process]. [I] worry about doing the right thing. […]” | |
“[…] Even though our role is to support and remain impartial, it can be emotionally hard.” | |
“Stress—trying to support, whilst also following process.” | |
Investigators feel negatively affected by seeing others struggle or suffer. | “[I] can be sad when dealing with accidental harm/emotional impact.” |
“I have been indirectly affected in my efforts to support individuals who have been negatively impacted and harmed by ineffective and often unnecessary investigation processes.” | |
“[I feel] empathy for colleagues. [I have] seen the harm to employees, [who had] been under pressure to complete investigations. […]” | |
“It can be hard to continue to do the day job and give advice when your advice is under question during an investigation. You can also feel for the employees involved.” | |
“[…] I can see the impact it has on colleagues going through an investigation.” | |
“[…] Anxiety and depression from others [and] suicidal tendencies in others [are main issues in investigations]. Very difficult to manage this.” | |
Investigators feel un- prepared to do a good job. | “[…] I feel helpless and unable to help back the [investigation] process [which] is not led by myself.” |
“I wish I could have done more.” | |
“[I] felt unclear of the process.” | |
Investigators feel negatively affected by the challenging content of the investigation. | “Heavy content—safeguarding related. Can be difficult to process.” |
“Sometimes the nature of our cases can be difficult.” | |
“[I feel affected] due to the nature of the investigation—negligence.” |
Q2 | Q3 | Q4 | Q5 | Q6 | Q7 | Q8 | Q9 | Q10 | Q11 | Q12 | Q13 | Q14 | |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
Q2 | 1.00 | ||||||||||||
Q3 | 0.59 | 1.00 | |||||||||||
Q4 | −0.25 | −0.25 | 1.00 | ||||||||||
Q5 | 0.42 | 0.45 | −0.27 | 1.00 | |||||||||
Q6 | −0.22 | −0.20 | 0.43 | −0.33 | 1.00 | ||||||||
Q7 | 0.50 | 0.30 | −0.22 | 0.31 | −0.27 | 1.00 | |||||||
Q8 | 0.56 | 0.58 | −0.24 | 0.47 | −0.21 | 0.43 | 1.00 | ||||||
Q9 | 0.44 | 0.39 | −0.12 | 0.52 | −0.26 | 0.41 | 0.31 | 1.00 | |||||
Q10 | 0.43 | 0.21 | 0.03 | 0.27 | −0.06 | 0.27 | 0.28 | 0.61 | 1.00 | ||||
Q11 | 0.11 | 0.15 | 0.24 | −0.05 | 0.09 | 0.08 | −0.05 | 0.31 | 0.42 | 1.00 | |||
Q12 | −0.03 | −0.04 | 0.17 | −0.11 | −0.09 | 0.03 | −0.11 | 0.34 | 0.39 | 0.60 | 1.00 | ||
Q13 | 0.24 | 0.37 | −0.13 | 0.23 | −0.17 | 0.08 | 0.28 | 0.27 | 0.18 | 0.43 | 0.32 | 1.00 | |
Q14 | 0.34 | 0.46 | −0.11 | 0.28 | −0.25 | 0.15 | 0.43 | 0.26 | 0.12 | 0.01 | −0.06 | 0.19 | 1.00 |
Q1 | 0.40 | 0.14 | 0.07 | 0.24 | 0.01 | 0.24 | 0.17 | 0.45 | 0.66 | 0.43 | 0.27 | 0.10 | 0.02 |
(1) | (2) | (3) | (4) | (5) | (6) | (7) | (8) | (9) | (10) | (11) | (12) | (13) | |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
Q9 | Q8 | Q7 | Q11 | Q2 | Q10 | Q4 | Q6 | Q12 | Q13 | Q14 | Q3 | Q5 | |
Fully Supported and Equipped | Confidence in Process | All Involved Have a Good Understanding | Good Understanding of the Potential Impact | Clear Structure and Process | Personal Good Know-ledge of the Process | Colleagues Under Investigation Can Be Harmed | Investigators Can Be Harmed | Aware of How Org. Can Avoid Harm | Ongoing Well-Being Is a Priority | Organ. Supports Reintegration | Colleagues Under Investigation Are Well Supported | Investigators Well Supported | |
Moderately experienced | −0.030 | 0.013 | −0.090 | 0.234 | 0.365 | 0.244 | 0.030 | 0.375 | −0.057 | 0.003 | 0.077 | 0.114 | −0.030 |
(0.301) | (0.263) | (0.266) | (0.263) | (0.280) | (0.285) | (0.253) | (0.235) | (0.267) | (0.413) | (0.283) | (0.302) | (0.283) | |
Experienced | 0.931 * | 0.631 | −0.008 | 0.138 | 0.738 * | 1.462 *** | 0.169 | 0.462 | −0.131 | 0.008 | 0.277 | 0.262 | 0.731 * |
(0.364) | (0.319) | (0.322) | (0.319) | (0.339) | (0.345) | (0.307) | (0.285) | (0.323) | (0.500) | (0.343) | (0.366) | (0.343) | |
Highly experienced | 0.911 ** | 0.231 | 0.452 | 0.938 *** | 0.858 ** | 1.662 *** | 0.009 | 0.102 | 0.489 | 0.268 | 0.077 | 0.342 | 0.391 |
(0.296) | (0.260) | (0.262) | (0.259) | (0.276) | (0.281) | (0.250) | (0.232) | (0.263) | (0.407) | (0.279) | (0.297) | (0.279) | |
Constant | 2.769 *** | 2.769 *** | 2.308 *** | 3.462 *** | 2.462 *** | 2.538 *** | 4.231 *** | 3.538 *** | 3.231 *** | 3.692 *** | 2.923 *** | 2.538 *** | 2.769 *** |
(0.240) | (0.211) | (0.213) | (0.210) | (0.224) | (0.228) | (0.202) | (0.188) | (0.213) | (0.330) | (0.226) | (0.241) | (0.226) | |
R2 | 0.236 | 0.075 | 0.095 | 0.216 | 0.145 | 0.457 | 0.006 | 0.064 | 0.111 | 0.012 | 0.010 | 0.024 | 0.108 |
N | 71 | 71 | 71 | 71 | 71 | 71 | 71 | 71 | 71 | 71 | 71 | 71 | 71 |
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Cooper, A.J.; Behrens, D.A.; Jones, S.E.; Neal, A.; Jones, A.; Hyll, W. Understanding the Impact of Employee Investigations on Those Who Lead Them: A Case Study from NHS Wales. Adm. Sci. 2025, 15, 211. https://doi.org/10.3390/admsci15060211
Cooper AJ, Behrens DA, Jones SE, Neal A, Jones A, Hyll W. Understanding the Impact of Employee Investigations on Those Who Lead Them: A Case Study from NHS Wales. Administrative Sciences. 2025; 15(6):211. https://doi.org/10.3390/admsci15060211
Chicago/Turabian StyleCooper, Andrew Jonathan, Doris Anita Behrens, Sophie Elizabeth Jones, Adrian Neal, Aled Jones, and Walter Hyll. 2025. "Understanding the Impact of Employee Investigations on Those Who Lead Them: A Case Study from NHS Wales" Administrative Sciences 15, no. 6: 211. https://doi.org/10.3390/admsci15060211
APA StyleCooper, A. J., Behrens, D. A., Jones, S. E., Neal, A., Jones, A., & Hyll, W. (2025). Understanding the Impact of Employee Investigations on Those Who Lead Them: A Case Study from NHS Wales. Administrative Sciences, 15(6), 211. https://doi.org/10.3390/admsci15060211