TheCorporateCounsel.net

I think it’s fairly common for people involved in internal investigations to feel uncertainty about the investigatory process and to have concerns about whether that process conforms to best practices.  If you find yourself worrying about these issues, this recent blog from “Compliance & Ethics: Ideas and Answers” may be helpful. It identifies areas of inquiry that should be considered in evaluating investigation processes.  This excerpt provides some examples:

– Are there written guidelines governing how investigations will be assigned? Are they logical and appropriate? Are they followed in practice?

– Is there a written investigations protocol, and does it include those elements that are necessary to facilitate robust investigations? Some of the elements that are typically included in investigations manuals include:

– Professionalism standards that govern the investigations process, such as a discussion of the importance of impartiality, competency, confidentiality, and non-retaliation.

– Step-by-step guides for each aspect of investigations, including intake procedures, preliminary analysis of the allegation, assigning investigations, opening a case file, creating an investigative plan, reviewing documents, whom to interview and how to do so, preparing interview notes, assessing and determining findings, preparing a final report, responding to the complainant and subject, and closing out the case.

– Samples and outlines of investigation documents, such as reports of interviews, reports of investigation, and sample communications with interviewees, complainants, supervisors, and subjects of investigations.

– Are there protocols that govern how evidence can be collected (e.g., required approvals before electronic data is accessed) and when and how litigation or investigation holds will be issued?

– Are there clear guidelines governing when to get the Legal Department involved and the steps to be taken when conducting an inquiry under the attorney-client privilege?

The blog says that, ultimately, an effective assessment of an investigation’s process seeks to determine whether it is being conducted independently, objectively and impartially, whether the investigators have the access to the people and documents they need, and whether the investigator is qualified to conduct the investigation.

– John Jenkins