Compliance &Ethics - Society of Corporate Compliance and Ethics

View from the Front Linesby Meric Craig Bloch, CCEP, CFE, PCI, LPIAre you in control of yourinvestigation?BlochWhen a serious allegation of misconductarises, the business peopleinvolved simultaneously react toa number of concerns. There is the implicatedemployee who was previously in a positionof trust. There may be an unhappy customerwho now has a “crisis of confidence”in your company’s ability to perform.There may be executives whom thebusiness people fear will blame themfor allowing the problem to happen.The implicated employee may be asales superstar whom the departmentmanagers fear losing to the competition.These factors usually lead to businesspeople trying to steer the investigationtowards their particular goals and away fromtheir professional fears.Ownership of an investigation comesfrom the pride that is taken in conductingthe most complete and objective review thatis professionally possible. Ownership comesfrom adhering to a set of guidelines and principles,rather than politics and situations. Theultimate objective of an investigation is a fullinquiry that is not motivated by politics, personality,or expediency.These principles can be tested when theurgencies of a critical situation arise, butadhering to them becomes more importantthan ever. Establish your role at the outset asthe “quarterback” of the investigation. Leaveno doubt with your colleagues that the companyplaces the investigative responsibility onyou. Whatever their motives are for wantingto take such an active role, it is you, not they,who remain accountable to the company for asuccessful, professional, and proficient investigation.Investigation-by-committee simplydoes not work.When people seem to be interfering withyour investigation, ask yourself why thesepeople seek an active role. You’ll quicklyfind that their motives are understandableand usually practical. They are likely motivatedby a fear of what the investigation willshow and how they may be blamed by theirsuperiors. If this happens, don’t get into awrestling match with them about the investigation.Instead, explore why they feel theyneed such an assertive role instead of justbeing the customer of your efforts. You mayfind you can accommodate their needs fairlyeasily, and they will step aside and let you doyour job.There is room in the investigative processfor others to participate. Indeed, this is the bestway to keep it business-focused—but it is you,not they, who have the training and responsibilityfor completing a proficient investigation.Solicit their needs and concerns, and then doyour best to respond to their priorities. Helpwhere you can. Make sure you understandtheir post-investigation needs. But you haveto set the strategy and decide what has to bedone to complete the investigation. You ownthe process and its outcome. ✵Meric Craig Bloch is the Compliance Officer for the North Americandivisions of Adecco SA, a Fortune Global 500 company with over 8,000employees and $6 billion in annual revenue in North America. He hasconducted more than 300 workplace investigations of fraud and seriousworkplace misconduct. He is an author and a frequent public speaker on theworkplace investigations process. Follow Meric on Twitter @fraudinvestig8r.Compliance & Ethics Professional May/June 2012+1 952 933 4977 or 888 277 4977 | www.corporatecompliance.org 33