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A good investigation begins well before the first allegation, according to Scott Moritz, Senior Managing Director at FTI Consulting. It begins with the creation of a proper framework for how investigations will be conducted.
In the latest Compliance Perspectives podcast he recommends that the investigation policy framework should begin by considering the different categories of likely cases: HR, privacy, cyber, and others. Each may require its own team, processes and legal considerations. Understanding these factors in advance helps ensure a faster start and a more thorough investigation.
When it comes to deciding whether to handle the investigation in-house or to engage outside resources, he notes that sometimes the answer is clear, such as when the allegation involves senior leadership. In other cases, multiple factors need to be assessed. But he points out, it doesn’t always have to be a decision made as soon as the allegation is made. Sometimes it is more prudent to do an initial investigation and then decide based on what the preliminary evidence indicates.
Listen in to discover more about how to create the framework that can help improve your investigation processes from the initial review of the allegation right down to the final report.
Thank you to Adam Turteltaub and the SCCE for the opportunity to share my “compliance perspectives” on the benefits of planning for investigations before they are needed.
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