Once a report is filed, efficiency is the name of the game.
The compliance baton is passed from the reporting channels where a report is received to managing the case (See our post on ‘Do you know what your reporting channels are up to?’). It’s easiest when you take the case and map it out using three stages:
- Post-case analysis
There are many moving parts once a case gets filed, and it may be easy to overlook or skip key steps. You and your compliance team will have more time to spend in the field conducting a more in-depth analysis if you ensure the case is efficiently routed, communicated, and investigated. Doing so can and will lead to a swifter and more consistent resolution rate, which will foster accountability, transparency and confidence in organizational justice across your company.
The reality is that not every issue can be caught internally through your hotline, for example. An effective hotline system can help more effectively prepare you for these challenges and achieve a better outcome. And with the level of complexities cases can take, dropping the proverbial baton in the middle will cause a domino effect – negatively impacting the process and the trust message it sends to your company.
Taking on complex cases
Two-thirds of misconduct either occurs over multiple incidents or is an on-going pattern, according to the 2013 National Business Ethics Survey, with 41 percent of observed misconduct committed by multiple individuals. Don’t oversimplify the process by requiring separate reporting and tracking of each issue. This forces the reporting parties to choose on allegation type or to file multiple times, decreasing the likelihood of reporting at all. Reporting parties should have the ability to report multiple allegations with more than one party in a single case. This approach also helps you and your compliance team out tremendously when starting the investigation process and in overall managing of the case.
To get a detailed checklist to help outline an effective case management and investigation process, grab a copy of the Case Management: The Definitive Guide. With the checklist, you can easily move cases through the process efficiently and not forget any moving parts along the way.