CONDUCTING AN EFFECTIVE AND EFFICIENT INTERNAL INVESTIGATION
Conducting effective internal investigations is an essential element of any compliance and ethics programme. Benefits go far beyond finding out who violated the rules. In addition to identifying corrective actions that can guard against subsequent recurrences, effective investigations can send a powerful message that helps to promote a workplace culture of integrity.
But a poorly conducted investigation can create more problems than it solves. In this article, we explore a few areas that are most prone to the types of mistakes that can have adverse consequences for companies.
Careful intake and preliminary assessment
An effective investigation begins with a reliable process for receiving and assessing reports of wrongdoing. Whether received via a tip line or in person, all reports should be documented and assessed to determine whether an investigation is warranted. Not all reports turn into investigations. There must be adequate information to follow up on. However, if there is sufficient information, no matter how unlikely the allegation may sound, it is critical to perform follow-up procedures. Just as important is to document steps taken during an investigation, particularly those that lead to a conclusion that no further investigation was necessary. When a workforce knows that allegations are taken seriously, employees are more likely to trust the process and be willing to report things that do not look right in the future.
Oct-Dec 2023 Issue
Society of Corporate Compliance and Ethics & Health Care Compliance Association