SCCE Regional Meeting - Alaska

Transcription

1 SCCE Regional Meeting - Alaska Sheryl Vacca, CCEP, CHC-F, CHRC, CHPC SVP/Chief Compliance and Audit Officer The participants will discuss: Triaging matters for investigations Key points to consider during the investigation Training your investigators 1

2 1. Determine if an investigation is necessary 2. Use a qualified and impartial investigator 3. Initiate and complete the investigation in a timely manner 4. Properly plan and prepare the investigation 5. Conduct a thorough investigation 6. Prepare and maintain an adequate record 7. Reach a conclusion supported by the evidence 8. Take appropriate follow-up action *Sue Ann Van Dermyden, Esq To advise the decision-maker of the following: 1. Did the alleged conduct, more likely than not, occur? 2. If so, was it a violation of organization s policy? 3. Other? To allow the decision-maker to determine: 1. What is the appropriate response? a) Exonerate b) Disciplinary action c) Self Disclosure d) Other? 2

3 Is an investigation needed? Screen the issue what other disciplines need to be involved in looking at this potential issue to determine whether an investigation is needed? Is there someone in your organization already working on the potential issue that you should be aware of and coordinating with? Does this require an investigation, management action or the resolution is obvious to prevent the problem from reoccurring, ie: sidewalk unsafe (resolution fix sidewalk ) Is there a need for immediate action? 3

4 Elements: Usually two types of investigations: Misconduct involving people Misconduct involving process Receive a complaint or observed the behavior Necessary when there are: Statutory obligations (ie: Sarbanes Oxley, Labor codes, etc.) Organizational obligations (ie: policy, contested facts, serious allegations, high level employee implicated, politically sensitive cases, litigation is likely, self disclosure is likely, external activity Effective Compliance Program Element Complaint/Investigation Workflow EXAMPLE continued on next page 4

5 Complaint/Investigation Workflow EXAMPLE Determine your Hotline/complaint triage process Create a work flow document of your investigation process Include links to policies, procedures, rules, etc. or provide manually for ready reference Share process with those that assist with investigations 5

6 Expertise needed for investigations Dependent on type of investigations Subject matter expertise in the business operations may be helpful Critical thinking skills does the investigator have the ability to go beyond surface focus? Retaliation Workplace misconduct Conflict of interest Fraud Inappropriate use of organization s assets Financial Safety Etc. Investigations generally follow similar formats but may need to vary in approach due to type of investigation Not all investigators are trained in approaches for all types of investigations Poorly conducted investigations could result in more risk or losing credibility in whole process Training should include: Overall process and purpose of investigations Training on tools and their use (for consistency) Approach which will be taken for specific types of investigations With limited resources, train the investigators on key concepts of the general types of investigations, consider when you must get outside expertise to assist the investigation Train on differences between management focus vs. investigative focus Provide protocol for avoiding scope creep in investigative process, ie: parking lot, frequent communications on status Identify process for when to escalate investigation (during investigation), discontinuing investigation (even though not completed) Attorney Client Privilege Report writing and supporting documentation Documentation report writing, work papers Specific type of investigations may require specific training related to subject matter 6

7 Effectiveness in the investigation process requires an understanding of when to investigate and what the purpose is Hotline/complaints should have a defined triage process Investigation workflow processes should be clearly stated, consistent and mapped Assure your priorities are documented and detailed for your investigations Effectiveness will be measured by the outcomes of the investigation and that there is evidence that issues were resolved and do not reoccur 7

8 Develop and document your workflow for investigations Develop tools for consistency Develop approach consistently for same types of investigations Understand what warrants an investigation vs. a management action Clearly state goals of investigation Also consider your disadvantages of doing an investigation Make sure your investigators are credible and qualified, ie: right personality, right skill sets Define scope clearly have practices in place for scope creep Investigator should be trained to identify whether the complaint is tip of the iceberg of bigger issues Documents should be protected Reports need to be consistent, articulate, concise know where opinions are to be stated for your organization (report, no report) ACT on findings RESOLVE ISSUE TIMELY 8