At the start of an investigation and throughout, Investigators must decide what information is required and how to fill any gaps in knowledge. In most cases sufficient information for a robust decision can be gathered from enquiries and desk top research. On some occasions, fieldwork will be the most effective way of getting information. If undertaking fieldwork, Investigators must follow the instructions on health and safety.

Fieldwork is the generic term used for visiting complainants, councils or care homes, examining files or conducting officer interviews (in person or virtual) 

Some examples of when we might need to carry out field work may be as follows:

• To establish important facts, relating to fault and injustice, that we do not think can be evidenced more easily another way;
• Where evidence already provided appears incomplete, misleading, confusing, or inconsistent with other evidence we have in our possession;
• To produce written evidence by interviewing individual officers or others, where there is a lack of written or other evidence to demonstrate what happened;
• To satisfy ourselves that we have sufficient evidence that might be relevant to our investigation and that the evidence we have is original and complete;
• Where a BinJ has been reluctant or failed to provide evidence we need, or has delayed or obstructed our investigation;
• To bring an investigation to a conclusion where there may be confusion, misunderstanding or disagreement.

It is good practice for investigators to make a record in Notes & Analysis of their decision making concerning what information is considered necessary and why a form of fieldwork is required.

23.1 Examining files

1. Decide what files need to be inspected.
2. Send template letter to BinJ re file inspections
3. S29/34 included as appropriate
4. Review files and make written record

We can ask for files to be sent to us but this may not be practical because of their size or format. A file inspection can often be done with other fieldwork, such as a site inspection or interview. The Investigator should ensure that an officer at the BinJ will be available to show them how to access any electronic records, and to take copies as needed.

• The link officer (or care home manager) should be asked to arrange a mutually convenient date, time and venue. 
• The Investigator should insist on seeing the original files, rather than copy documents.
• The ‘trail’ of documents should be followed to ensure nothing is missing.
• The Investigator should get copies of any documents which we need and do not already have, and which may be used in our decision making. 
• The copies can be sent on to us, but the Investigator should list the documents to be copied so we can be sure everything has been provided.
• It can be helpful to take notes of the whole content of the file(s), in case there are later questions about what was on the record.
• Any significant gaps must be noted and queried. 

Investigators should send the standard template letter in ECHO to confirm arrangements for a file inspection. It is good practice to make a contemporaneous written record of the actual files inspected during the visit. There is a template example available to help keep a written record of key documents and issues.

23.2 Officer interviews

1. Decide who needs to be interviewed.
2. EML to BinJ LO re interviews
3. Send template Notes for Interviewees to BinJ
4. *S29/34 notes included as appropriate, following discussion with AO
5. Prepare Interview plan
6. Conduct interview and make written record
7. Send typed notes to BinJ if requested

The way interviews are conducted is very important to our aims of fairness, independence and openness. Interviews often involve people who have had little or no contact with the Ombudsman before and their experience will affect our reputation. We must be wary of the motives, memory and reliability of those we interview. We should not normally rely solely on interviews to decide how a Committee or Appeal Panel (for example) may have voted if there had been no fault in a case.

Interviews may be conducted by phone or in person. Phone interviews may be particularly appropriate when factual information is being sought and the interviewee’s conduct is not in question. Generally, however, a clearer view is likely to be gained from a face to face interview. This could be by video call or an in-person meeting. 

It is for the Investigator to decide who, if anyone, must be interviewed, but if the BinJ specifically asks that we interview someone this should normally be agreed. Generally, the fewest people necessary to get the information needed for a robust decision should be interviewed. 

When arranging interviews with officers, Investigators should make sure they are sent a copy of our notes for interviewees in advance. There is a template in ECHO. Investigators should make sure the correct template is used depending on who is being interviewed – Chief Executive, council staff, Care Providers or third parties.

It is good practice to have an interview plan to work from. There is a template example available, for you to keep a written record. Investigators should discuss any interview plans with their Assistant Ombudsman to determine whether a colleague should accompany them and to ensure the proposed venue is appropriate.

At the start of the interview, Investigators should confirm the officer has read the Notes for Interviewees. If not, allow them time to read a copy before beginning. We should make clear:

• the complaint we are investigating 
• the purpose of the interview 
• that we will make a note which is not intended to be verbatim
• that nothing can be ‘off the record’.

Investigators should take notes of what is said and confirm key points, including any documents referred to. Investigators should also note those present, the place, the date and the start and finish times. At the end of the interview, we should explain what will happen next. We should provide a typed note to the interviewee if requested.

Some offices currently have digital recorders which enable Investigators to record in-person interviews. These should be used if available. All telephone calls are recorded too. It is also possible to record video calls made on Microsoft Teams. If advice or support about how to do this is needed, please speak to our IT colleagues.

Copies of any recordings of officer interviews should be requested from the IT Helpdesk and added to ECHO once complete. 

23.3 Meeting complainants and visiting sites 

1. Decide what meeting/site visit need to be held
2. Send template letter to determine arrangements
3. S29/34 included as appropriate
4. Hold meeting/site visit and make written record

Please see our guidance on Health and Safety and safe working. 

Using our offices, or those of the BinJ or a third party organisation, may be the safest way of meeting a complainant. But sometimes visiting the complainant, especially if there are mobility issues or if seeing the property would be of benefit to the investigation, is more appropriate. Investigators should arrange to be accompanied on any home visit by another member of our staff. 

Investigators should send the standard template letter in ECHO to confirm arrangements for a site visit.