Some issues require more sophisticated, special investigation. The investigation may be required to determine facts surrounding or underlying the specific incident, or the reason for the occurrence of a type of incident. An investigation may be required to gain information to improve controls, regardless of a need for further investigation to address the immediate issue.
Privilege and privacy issues must be considered in determining recipients and the form of communication of investigation results. Practically speaking, enforcement agencies and the U.S. Department of Justice will want to review all investigatory work products -- even those originally intended to be privileged. Thus, it is best to assume that any written report will be released outside the organization and viewed by multiple audiences. Media attention and public relations protocol should be considered as part of the report process.
Principles
> No unnecessary inquiry
> Confidential
> Inquiry process is on behalf of the company, not individuals
> Privileged if appropriate, but assume documentation will be discoverable
Business Objectives
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To ensure that the specific issue raised in the incident is fully understood and addressed
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To ensure that all legal requirements are satisfied
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To ensure that the entity can identify and correct flaws or gaps in the compliance and ethics program responses and controls
Considerations
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Some types of information about the incident can only be gained through further investigation
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The entity's history of dealing with investigations should be considered when designing the investigation
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The nature of the investigation required (e.g., paperwork review, interviews, inspections) will affect decisions about the team and process for the investigation
Critical Success Factors
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Early involvement of legal counsel
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Compliance with laws and government guidelines in performance of the investigation
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Authority and credibility of investigators
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High-level support for thorough and open investigation and a culture that supports cooperation with investigators
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Clear definition of the scope of the investigation