LRN - Risk management Survey - Ethics Resource Center

detailed results17. What are your biggest challenges in investigating allegations?Challenges in investigating allegationsNo significant challengesNot enough resources to conduct investigationsDifficulties in investigating incidentsoccurring at international locationsNot enough trained/qualified investigatorsNot enough training in how to conduct investigationsReluctance on the part of individuals/colleagues/managers to cooperateToo many false reportsOther32%26%19%16%16%15%10%9%Don’t know12%Of the companies surveyed, nearly one-third (32 percent) believe they did not face any challengesin investigating allegations of ethics and compliance violations. Of those who reported challenges,the major areas of concern were a lack of resources (26 percent), difficulties in investigatingincidents occurring at international locations (19 percent) and insufficient training or insufficientlytrained/qualified investigators (both 16 percent). Another 15 percent of respondents alsoreported reluctance on the part of people to cooperate in investigations.Resources and lack of qualified people lead the challengesin investigating.Investigation processes have had longer to mature than other aspects of the ethicsand compliance function. As a result, the percentage of companies that report nosignificant challenges with investigations (32 percent) is far higher than the percentageof companies that cite no challenges in assessing ethics and compliance risks(12 percent) or preventing risks (11 percent).Nevertheless, a combined total of 58 percent of respondents believe issues relatingto either resources or to the education and knowledge of investigators are challenges.This is important for companies to heed given the critical nature of conductinginvestigations quickly with accuracy, fairness and legal aptitude.Two additional challenges are also worthy of note. First, nearly one in five (19 percent)believe that they experience difficulty conducting investigations in their internationaloperations. This finding is important for multinational companies, especially as they expandoperations to distant or culturally varied locations. Second, 15 percent of respondentscite the reluctance of people to cooperate. This result may reiterate the ideathat they lack the knowledge and education to do investigating, or it could point toother considerations such as lack of time. Whichever the cause, companies shouldbe sure that their employees have the knowledge, skills and commitment to becomeLRN | ETHICS AND COMPLIANCE RISK MANAGEMENT PRACTICES REPORT | 25