September is shaping up to be a busy month for us at Customer Expressions, as we announce today that we will be exhibiting the i-Sight Compliance and Ethics Investigation Software at the 18th annual Business Ethics and Compliance Conference. The conference is hosted by the Ethics & Compliance Officer Association and this year it’s being held in Anaheim, California from September 21-24th. We attended this conference last year when it was held in Chicago and are glad to be returning again this year.

The Business Ethics & Compliance Conference is the world’s largest, multi-industry gathering of ethics and compliance officers. Distinguished keynote speakers, leading subject matter experts, and the most prominent ethics and compliance officers in the field will address critical issues facing ethics and compliance practitioners today. This year’s keynote speakers include Sharon Allen, Chairman of the Board at Deloitte LLP, Dr. SH Lee, Chairman and CEO at Samsung Tesco Homplus and Greg Andres, Deputy Assistant Attorney General, Fraud Section at the US Department of Justice.

Some of the key issues to be discussed at this year’s conference include:

• Conducting Effective Investigations
• Workplace Social Media Policies
• Role of the Compliance Officer
• Evaluating Ethics and Compliance Programs
• Conflict of Interest Issues
• Ethical Corporate Culture
• Risk Assessments and Gap Analyses

“With recent events and the economic downturn, the focus on ethics and compliance is stronger now than ever before. Many ethics and compliance departments are small in size when compared to the number of people within their organization. As legislation and policies demand tighter controls over ethics and compliance related issues, ethics and compliance departments require affordable, effective solutions that make their lives easier.” said Joe Gerard, Vice President at Customer Expressions.

Mr. Gerard also states:

“Each person we speak with indicates a desired need for a system configured around their company’s specific processes- and we respond. We build a unique version of i-Sight for each client, which allows them to use their language, as well as a system that reflects their corporate structure, review procedures and reporting hierarchy. This increases the rate of adoption, improving the efficiency and quality of investigations.”

The ECOA is a member-driven association exclusively serving individuals responsible for developing and maintaining compliance, and business conduct programs within their companies. Dedicated to building trust and organizational integrity worldwide, the ECOA is the most-respected group of ethics and compliance practitioners in the world. By gathering those new to the field along with seasoned professionals, the ECOA facilitates peer-to-peer learning and helps to foster a global commitment to business ethics and integrity. Over 1,200 ECOA members represent nearly 500 organizations worldwide in over 30 industries.

To view the preliminary schedule for the conference, visit the ECOA website to download the PDF.

Is this what you look like when it comes to preparing investigation reports? Writing investigation reports doesn’t have to be daunting. A standardized reporting structure improves the consistency of reports amongst investigators. Standardized reporting provides investigators with a reporting format to follow and reduces the time spent preparing investigation reports. This information is all fine and dandy, however, a question we frequently receive is, what information do I actually need to put in an investigation report?

 Here is our answer to that question:

1. Information to Identify the Case:

Begin the report with case specific information that identifies the case the report is related to. Include information such as the investigator’s name, case number, the date the case was entered and the date it was assigned to the investigator.

2. Referral Source:

The next section should include the complainant’s information. The complainant’s work phone number, e-mail, employee number, office location, department and job title help identify the person lodging the complaint.

3. Allegation Details:

Harassment, discrimination, retaliation — what type of allegation is under investigation? In this section, be sure to include as much detail as possible about the initial complaint.

• Identify the type of case.
• Who the alleged victim is- may or may not be the same person as the complainant.
• How the complaint was received- hotline, face-to-face, web form, etc.
• Allegation details- what happened, where, when and any other information provided in the initial complaint.

4. Information About the Subject:

The information required for this section of the report is similar to that of the “Referral Source” section. However, it’s the subject’s (the accused person’s) information being documented this time. Include their name, e-mail, work phone number, office location, department and job title.

5. Investigation Scope/ Purpose:

Include a statement that describes the mission and objectives of the investigation. Answer the question “what is the investigation trying to prove?”.

6. Case Notes:

The case notes section should include an overview of the tasks assigned and action taken throughout the investigation. Be sure to include a brief description of the task, steps taken to complete it, who completed the task and when.

7. Interview Summaries:

List the investigation interviews that took place throughout the investigation. Make sure the list is in chronological order, beginning with the first interview, ending with the last. Summary details are short and sweet, outlining:

• Name of the interviewer- also include the names of any other people who sat in on the interview.
• Name of the person interviewed and their role in the investigation- complainant, subject, witness.
• Interview location.
• Date of interview.

In this section of the report, there’s no need to go into detail about the events of the investigation- that’s what the next section is for!

8. Interview Reports:

Interview reports are brief summaries of each of the investigation interviews. In addition to the information in the above section, this part elaborates on the investigation interview to include:

• Credibility Assessment- Certain factors will determine the credibility of an interviewee’s statements. We cover the topic of determining credibility in our post “Investigation Interview Questions to Determine Credibility“. This section of the report should list any indicators that contribute to the belief that the interviewee is or isn’t a credible source.
• Investigator Notes- Summarize the introduction, incident overview and conclusion of each interview. In the introduction, outline the explanation of the interviewer’s role in the investigation, the purpose for the interview, efforts to maintain confidentiality and retaliation protections. The incident overview section should include the interviewee’s description of events related to the incident, whether or not they are aware of any witnesses, where/when the incident occurred and any background information linking the involved parties. Notes to be made about the interview conclusion should include thanking the interviewee, reiteration of confidentiality concepts, review of statements made and interviewee singing of investigator notes.

9. List of Evidence:

As simple as it sounds- list the evidence collected during the investigation. For the sake of the investigation report, include information such as:

•  Type of evidence collected- interview, video, photo, audio tape, e-mail, etc.
• Name of person who presented the evidence, as well as their role in the investigation.
• Date the evidence was collected.
• Location of the evidence.

10. Recommendations:

Conclude the report with recommendations. After reviewing all of the investigation materials, what type of action should be taken? Does evidence support the violation of workplace policies? Make sure recommendations are backed up by the consequences outlined in the company code of conduct or other policies governing employee behaviour in the workplace. Include a plan of action, identifying next steps in taking corrective action.

Reporting With a Case Management System

Case management solutions simplify the investigation reporting process, creating reports with the click of a button. Initially, a report template needs to be developed, outlining the sections of the report. Information from the investigation is pulled from the case file, automatically filling in each of the sections in the report. The report is then ready for export, with the investigator choosing the desired format for the report (PDF, MS Word document, etc.).

According to a report from the Association of Certified Fraud Examiners, occupational fraud and abuse costs businesses in the United States upwards of $400 billion a year. Today’s business leaders must focus on protecting their brands through prevention and proactive measures to rid their workplace of fraud, theft, violence and other unethical acts. However, managers still need to be prepared to react to these types of events and conduct investigations into reported allegations, as accidents do happen. One of the main concerns facing businesses during times of economic recession is employee theft. As businesses do their best to cut unnecessary costs, they must also monitor for theft, as the costs associated with theft place significant burdens on the organization. We have covered tips for preventing and detecting employee theft in our posts “Workplace Theft & Fraud Prevention Tips Part 1,” and “Workplace Theft & Fraud Prevention Tips Part 2,” therefore, this post will focus on the proper handling of workplace theft allegations and conducting employee theft investigations.

Handling Theft Allegations

Whether it’s allegations of employee theft involving physical property, intellectual property, money, supplies or other workplace materials, all allegations must be treated with the same level of importance. When allegations are initially received, investigative or HR managers- whomever allegations and complaints are received by, must designate an appropriate investigator to the case. There are a number of ways to determine an appropriate investigator. Some organizations choose to filter allegations by location, organization department or type of allegation. Investigation software solutions, including i-Sight, make it easier to control case assignment through built in process rules. Incoming allegations can be held in a pending queue to be assigned manually by the investigative manager, or, new cases can by routed to the designated investigator based on the various filters mentioned above. 

When theft allegations arise, the FindLaw article “Handling Employee Theft Claims,” recommends:

“When a theft is detected, you must move quickly to investigate and discipline the employee. If an employee is caught by direct observation, the “investigation” should be straightforward. However, more often than not, an employee theft is suspected based upon indirect or circumstantial evidence, such as another employee report or in the results of an audit. In such cases, an investigation is necessary. However, do not unnecessarily delay the investigation, since criminal and civil statutes of limitation will begin upon discovery of the loss.”

Software for Managing Employee Theft Investigations

Take Action: Once it has been determined that the theft allegations provide grounds for further investigation, it’s important to determine what to do with the subject (accused employee) while the investigation commences. The action taken will vary based on the nature and scale of the employee theft reported. In the FindLaw article “Handling Employee Theft Claims,” they suggest that sometimes it’s best to leave the employee in their position and monitor their actions to confirm the fraud, whereas sometimes it’s best to immediately suspend the employee until a decision has been made.

Maintain Confidentiality: As with every workplace investigation, ensure confidentiality is upheld to the highest degree possible.  i-Sight provides investigators with the ability to control who has access to entire case files, as information pertaining to internal issues may even require confidentiality amongst members of the investigation unit. Since theft is a criminal offense, information will likely need to be shared third parties. Access can be granted to members of third parties, granting them access to an entire case or specific parts within the case file. Once they have the information the need, access can be restricted once again to maintain privacy.

Confidentiality must also be addressed during investigation interviews, as some individuals being interviewed may be hesitant to divulge information for fear of retaliation. Remind interviewees that retaliation isn’t permitted and if they feel anyone is acting in a retaliatory manner towards them, to report it. Communicating the company’s commitment to investigation confidentiality will allow for stronger information to be collected, greatly improving the quality of the investigation.

Stay on Track: Employee theft investigations not only require immediate attention but must also be conducted in a timely manner. A company that has already lost money due to theft cannot afford to lose additional money by being slapped with a lawsuit for negligence. i-Sight keeps investigators on task by using a system of approvals and alerts that make it easier for investigative managers to keep an eye on the progress of their investigators. Alerts are used to inform investigators of newly assigned cases, task assignment, inactivity or overdue tasks and approval requests (confirming ownership of cases and tasks). By selecting due dates when assigning cases and tasks, alerts keep investigators on top of their investigations and ensure that no step is overlooked.

Repeat Offenders: It’s important to be aware of an employee’s involvement in previous theft incidents. It has been reported that many employees commit an act of theft more than one time within their organization. Identifying repeat offenders helps determine a suitable punishment to be administered when the investigation has concluded. i-Sight makes it possible to identify repeat offenders through case linking and search functionalities.

Track Restitution Payments: One of the best features of i-Sight Investigation Software, for theft investigations, is the ability to track restitution payments and case-related expenses. This information is stored directly in the case file and alerts can be sent if restitution payments are not made on time. This helps companies gain back monetary losses they have incurred, while holding the subject accountable for making timely payments.

“Our overall goal is to take care of the customer in a timely manner. If we react quickly to customer issues, we will get repeat business. Information we receive from the customer can help us improve the reliability of our product designs to benefit everyone.”

— Bryan VanDeVyvere, Quality & Process Improvement Manager, Civacon

Many of us rarely think about where products come from or how they arrived at their destination safely. Much of what we use and consume on a daily basis goes through many steps and precautions along the way through a company’s supply chain.  Civacon is the world’s leading provider of cargo tank components and systems designed for safe, profitable handling and transportation of hazardous bulk products. Civacon’s vents, valves and other equipment help safeguard against petroleum, liquid and chemical spills and get dry bulk commodities to their destinations. In order to effectively manage complaints and quality issues, Civacon implemented the i-Sight Quality and Correction Action Software.

Challenges

Previously, the company logged issues in Excel spreadsheets and in its enterprise resource planning (ERP) software. Complaints went into one place and return merchandise authorizations (RMAs) into another, turning manual reporting into an unnecessarily lengthy process. The company maintains detailed records of product problems or process errors, to help identify the root cause of issues to take corrective action.

• Civacon stored complaints, return merchandise authorizations and correction action items in three different places.
• The company spent hours each month assembling reports on complaints, RMAs and correction actions.
• Reporting only on a monthly basis did not support swift corrective action.

Solutions

The original system deployed at Civacon lacked desired functionality. Reporting was a significant concern at Civacon. Not only was the company looking for a solution to reduce reporting time, but the various departments at Civacon each had unique formats for reporting. The i-Sight system enabled Civacon to merge quality and corrective action into a single web-based application to simplify their processes and make reporting easier. According to Bryan VanDeVyvere, Quality & Process Improvement Manager at Civacon:

“Pulling our three processes together – complaints, RMAs and correction action – will save a lot of time. We don’t have to maintain three different areas of data in three different places.”

• i-Sight Quality and Correction Action Software merges customer issues, RMAs and corrective action items in one place for integrated reporting.
• The customizable software aligns with the company’s workflows, approval processes and notifications.
• Multiple departments across locations can enter issues in the web-based software.

Results

Reporting on issues with i-Sight made it easier to get information into the hands of Civacon’s teams at a faster rate. In turn, they are able to identify trends and take corrective action, resulting in a decreasing number of complaints, costly returns and risk.

“Our overall goal is to take care of the customer in a timely manner. If we react quickly to customer issues, we will get repeat business,” VanDeVyvere said. “Information we receive from the customer can help us improve the reliability of our product designs to benefit everyone.”

• Civacon can run reports every week in a matter of a few clicks.
• The company has actionable information more often, enabling faster corrective action.
• Improvements will reduce overall complaints, costly returns and risk.

To read the Civacon Case Study in its entirety, check out “Civacon Implements i-Sight Corrective Action Software to Merge Quality and Corrective Action Systems.” To learn more about how i-Sight can help your business effectively manage case loads and investigations, sign up for a demo using the form below.

Demo Request:

The values associated with workplace fraud continue to rise- especially during economic downturns. Preventing workplace fraud begins on the inside of an organization. One of the largest fraud risks companies must address is the opportunity for fraud to occur. There are a number of anti-fraud techniques and systems that are easy to implement within any organization. When fraud grows out of control within an organization, reputations and public trust are destroyed. To reduce the opportunity for fraud to occur, accounting and money handling responsibilities must be divided. Monitoring and enforcement of anti-fraud programs is necessary in order for the program to be effective and for employees to take it seriously. When employees know they are being watched, their work is being reviewed on a consistent basis and punishments are administered to those who violate anti-fraud policies, there’s less room for fraud to go undetected.

Fighting Fraud

An effective system of internal checks and balances greatly reduces and may even eliminate all opportunity for workplace fraud to occur. Here are 4 tips to help reduce the opportunity for fraud in the workplace:

1. Dividing Responsibility

Create a small team to handle the money handling and accounting responsibilities.  This makes it easier to identify any misallocated funds or errors that could lead to the discovery of a fraud scheme. Dividing responsibilities decreases the opportunity for fraud, as different employees are responsible for separate tasks, making it difficult to explain missing funds or expense forms. Make it known that all financial reports and corporate bank accounts are reviewed item by item- any expenses or charges out of the ordinary will be questioned and investigated. If employees are aware that bank statements and other documents are never reviewed, the opportunity to commit fraud is wide open.

2. Monitoring

Monitoring the anti-fraud program is one of the key success factors in reducing the opportunity for workplace fraud. Implementing anti-fraud systems to detect and deter fraud isn’t enough. Monitoring and assessing identified fraud risks must become an ongoing processes in order for employees to understand the company’s commitment to fighting fraud.  The article “The Importance of Antifraud Programs and Controls,” published by Deloitte Canada addresses the importance of monitoring anti-fraud programs:

“A final step for management and audit committees is the monitoring of the quality and effectiveness of an entity’s antifraud programs and controls. Monitoring can be done in two ways: through ongoing activities or separate evaluations. Separate evaluations can be performed by internal audit or other interested parties, such as business process owners. Monitoring activities can include timely reconciliations, confirmation of information by external parties, and periodic confirmations from personnel that they understand and comply with the company’s code of conduct.”

3. Anonymous Reporting System

A reporting system must be established in order to allow those who have observed fraud to report it. Reporting systems help reduce the opportunity for workplace fraud, as employees are less likely to commit fraudulent acts, knowing that their fellow employees are watching and are equipped with the proper resources for calling them out on their actions. Many companies receive tips related to workplace fraud through a whistleblower hotline or internal HR teams. Implement a system that provides the opportunity for anonymous reporting, as some individuals will be more apt to bring information forward if they don’t have to expose their identity. Opt for a case management software solution that can be easily integrated to work with existing hotline or reporting systems and platforms, allowing for simplified, multi-channel case entry.  A system that supports multi-channel case entry is important, as tips and reports of observed misconduct can be made via an Internet web form, company intranet and telephone hotline.

4. Effective Case Management

Effective case management reduces the opportunity for fraud within the workplace by providing managers with the ability to launch investigations into fraud-related incidents as soon as a new case is entered. i-Sight for Fraud Investigations uses automatic alerts to notify managers when a new case is entered. Reducing the time it takes to respond to cases, as well as conducting timely investigations, helps end fraudulent acts before they compromise the entire company.

i-Sight dashboards provide managers with the tools to identify common allegations or investigation types, analyze cases by geographic location or other relevant variable and spot patterns and emerging trends. Dashboards communicate complex information quickly. They translate corporate data into rich, graphical presentations using gauges, maps, charts, and other graphics to show multiple results together. Dynamic dashboards also let investigation managers drill-through to other data sources and reports for more detail about what the dashboard is communicating. This is useful for monitoring and tracking fraud related tips and investigations, as the ability to understand the frequency and location of fraudulent events within an organization allows managers to revisit these areas and make amendments to the anti-fraud program.

i-Sight Investigation Software Overview

i-Sight Investigation Software is a customizable, centralized case management solution developed to help investigators, HR personnel and other members of a company’s investigative unit effectively manage case files. The above video provides a verbal and visual overview of how i-Sight Software works and the benefits it has to offer. Here are some of the topics discussed in the short video:

• Centralized, Web-based Case Management- As investigators are sometimes located around the world, collaboration and case access become issues that increase the time spent on an investigation. i-Sight centrally stores cases so that they can be accessed from anywhere, as they are stored and accessible through a web-browser. This allows investigators to work on cases from any location, at any time, therefore reducing the amount of time spent on investigations.
• Case Access- In i-Sight, case access can be restricted down to the field level. For security reasons, there may be sensitive case information that cannot be shared even within the investigative team. Therefore, investigators may only be granted permission to see cases and tasks assigned to them. Access can be determined by a number of factors- location, allegation type, department and other factors unique to any company’s business processes.
• Investigation Managers- When using i-Sight, investigation managers can control who views which case files. New cases are held in queue, where managers can assign cases to the appropriate investigator. Managers can review the work completed by investigators, and can issue reminders for tasks that are overdue. Reports to measure performance and identify trends can be quickly created through the use of dashboard reporting.
• Alerts- Reminders, notes, expense tracking, attaching exhibits and evidence management can all be done effectively within i-Sight. In order to complete investigations on time, automatic alerts are sent as new cases are entered, to insure the case receives attention immediately. Throughout the investigation process, alerts are sent if a task is overdue, in order to bring attention back to the case. As time is a critical factor in the success of an investigation, alerts make it easier to ensure no case is forgotten.
• Reporting- With many home-grown case management solutions, reports must be manually assembled, which is extremely time consuming in ineffective. With i-Sight, reports are created in minutes, as case information is extracted from the case file and compiled into a customized report template. This feature significantly reduces reporting time, improves report consistency and allows for remedial action to be taken sooner.
• Hosting, Support and System Updates- i-Sight is a hosted solution, which means there is no need to install and manage server hardware or an in-house system. Our staff builds, implements and updates systems as required, therefore, no IT resources are required on our client’s behalf. If a system requires an update- for example, workplace policies are amended or investigators enter or leave the workplace- i-Sight can be updated to reflect these developments.

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For many organizations, situations involving workplace bullying remain a growing concern. Whether the situation involves peers or superiors, all matters involving physical or mental bullying must be investigated promptly, with appropriate punishment administered. Like many forms of workplace harassment or discrimination, movements are being made to hold employers responsible for protecting employees from workplace bullying.

In May, the Wall Street Journal published an article that discussed the signing of a bipartisan measure in the state of New York that would allow employees who have been abused in any form within the workplace, to place charges against their employer in a civil court. Following in the footsteps of the UK Bribery Act and US FCPA, the anti-bullying legislation proposed in New York states that employers may not be held liable in a workplace bullying case if they can provide sufficient evidence that a program is in place to prevent such incidents from occurring. 

A number of other states in the US have developed legislation to help fight workplace bullying, however, according to the article “For Businesses, Bully Lawsuits May Pose New Threat ,” none have become law. If a bill such as this were to become law, there would be significant implications for employers. The number of complaints related to bullying situations would likely increase, resulting in an increase of the number of investigations conducted.

Complaint Handling

Workplace bullying situations vary both in nature and the effect of the actions on each individual. By definition from the “Healthy Workplace Bill,” workplace bullying is:

“Repeated, health-harming mistreatment of one or more persons (the targets) by one or more perpetrators that takes one or more of the following forms:

Offensive conduct/behaviors (including nonverbal) which are threatening, humiliating or intimidating

Verbal abuse.

Work interference – sabotage – which prevents work from getting done.  

All incoming complaints should be treated with equal importance, subject to a pre-screening process before the decision is made to launch a full-out investigation. Upon receiving a complaint regarding workplace bullying, investigators must respond promptly. As previously discussed in this post, workplace bullying isn’t illegal. However, bullying situations, if ignored, can lead to illegal workplace acts, such as discrimination or harassment. In order to respond to and conduct an investigation in a timely manner, investigative units should consider implementing a case management software solution.

i-Sight Case Management Software assists investigators in managing cases through the use of workflow rules and automatic alerts. When a new case is entered into the system, an investigative manager can either assign the case to a member of the investigation team, or the case can be automatically routed to an investigator based on case information. To remain on task throughout the investigation, alerts are sent to bring attention back to overdue assignments to complete the investigation on time. The time it takes to complete an investigation is important. Should the case end up in court, employers can be held responsible for negligence if an investigation is completed improperly or takes too long.

Determining Credibility

Determining the credibility of the complaint is a key success factor in any internal investigation involving bullying. As mentioned above, incoming complaints should be put through a “pre-investigation” process before allocating the resources required for a complete investigation. Certain incidents can be resolved without an investigation, therefore, save some money and investigate when appropriate. Assessing the credibility of an initial bullying complaint is important, as mentioned in the Bloomberg Businessweek article “Employers Can’t Ignore Workplace Bullies,” everyone has a different interpretation of what bullying is:

“What is bullying to me might not be bullying to you. A manager may have to tell you something that hurts your feelings to help you do your job. If your boss screams at you for being late, for instance, you might think that’s horrible… Most commonly, bullying consists of repeated verbal harassment. If it becomes physical there are existing legal tools to deal with it, such as assault and battery. Bullying behavior typically comes from somebody in a position of authority at a company. A bully can be a co-worker, but it’s more commonly associated with a boss and particularly with an immediate boss, as opposed to someone running the company.”

Other areas where credibility must be determined include investigation interview statements. Once it has been decided that a complaint warrants an investigation, it will be important to determine the credibility of statements made by the complainant, subject (the accused) and any witnesses. During investigation interviews, investigators must take note of physical and vocal indicators, as well as any relationships between employees, in order to determine if any bias exists that could be influencing their statements. We cover this topic in greater detail in our post “Investigation Interview Questions to Determine Credibility.”

Every organization faces a variety of factors that put their company at risk. Risks may vary between industries, however, one thing remains the same- employers are responsible for protecting their employees and providing them with a safe workplace by mitigating these risks. In some cases, accidents still happen, employees choose not to follow proper procedures and misconduct ensues. In these types of situations, companies will want to ensure they have an effective reporting system in place, as well as proper tools for conducting top notch internal investigations.

Our Story

At i-Sight, we understand the different pressures organizations are under to comply with regulations and conduct timely investigations. We developed i-Sight Investigation Software to meet a need we recognized within our own workplaces eleven years ago. Since then, we have continued to enhance our understanding of the issues companies face through speaking with our clients and prospects in order to create a solution that makes their job easier.

Closing the Gap

When an individual or company comes to us requesting more information, or a demonstration of i-Sight, many have identified gaps in their current systems, and are looking for a solution that can be built around the processes they already have in place. For example, at Underwriters Laboratories (UL), wanted a system that could handle large volumes of cases, was accessible from any location due to traveling investigators and would allow their current investigations team to handle increasing case volumes without having to add additional members to the team.

At UL, the ability to build a criminally enforceable case requires detailed tracking of information and coordination with law enforcement agencies. UL originally utilized a simple database; however, the application was not capable of capturing e-mails or attachments and didn’t provide investigators with a comprehensive “visual” of each case.

According to Judith Lykins, manager, Anti-Counterfeiting Operations at UL:

“Our goal is to keep dangerous products out of the hands of consumers. In order to put together a successful investigation for criminal enforcement, we needed a more effective way to collect, analyze and output our data.

In order to make it easier for members of the Anti-Counterfeiting Operations team to adopt i-Sight, it was designed to include the same terminology and categories used throughout the process at UL. Now, all members of the Anti-Counterfeiting Operations team have the ability to manage large case loads, while meeting deadlines and submitting consistent reports. i-Sight is a web based system, which makes it easy for traveling investigators to work on cases from any location with an Internet connection.

Increasing Enforcement

Organizations can lose thousands, even millions of dollars if investigations are not completed properly. For example, failure to investigate an employee complaint may result in a costly lawsuit, while taking too long to complete an investigation may result in money lost due to ongoing fraudulent actions. In 2003, the State of West Virginia launched a major reform of its workers’ compensation system, which was then heavily in debt and losing close to $1 million a day. A key goal of the initiative was to reduce the occurrence of fraud and abuse, by stepping up enforcement and by ensuring greater coordination among the state officials who were responsible for overseeing the system.

“‘First, we found that the reporting features within i-Sight were excellent,’ said Chris Bailes, Director of Operations at the Office of the Inspector General. ‘That is really key, because without good data we can’t make good decisions. And second, we appreciated the flexibility that i-Sight gave us. We liked the fact that if we wanted to change our internal procedures six months down the road, i-Sight would allow us to do that.’”

Since implementing i-Sight, the Office of the Inspector General (for the first time ever) has a convenient way of tracking and monitoring court-ordered restitution and repayments. Prior to implementing i-Sight, Bailes stated they  ”had over $6 million dollars in restitution and repayment agreements, and a little over 10% of that had been paid. We needed a way to monitor that situation the same way a bank monitors its loan repayments, with automatic alerts when people are missing their payments. i-Sight case management software does that for us, which is a fantastic feature.”

It seems to be that each week is busier than the last. Here are some of the things we blogged about this week- as well as some other pieces that caught our attention regarding internal investigation, human resources and ethics:

Monday:

• Blog Post- An Argument for Centralizing Employee Relations Data Within Multi-Nationals

“Companies operating globally face a growing number of employee relations and compliance related challenges. The most important challenge is their ability to adapt to local laws and cultures, while ensuring company-wide adherence to standards developed at head office.  In order to operate on a global scale, many organizations have employed a decentralized structure.  Although this is an effective strategy for enabling rapid decision making and customization of product & service offerings, it presents a significant challenge for compliance and HR professionals.   More specifically, we’ve seen many clients empower their local HR teams to investigate employee complaints or reports of misconduct.

Author:  Jason Victor | i-Sight Director of Solutions & Support| Jason is one the original developers of the i-Sight solution and now leads the i-Sight IT & Support groups. He’s been involved in over 150 i-Sight implementations including global implementations at Dell, Coca-Cola, AllState, Siemens, DSGi and many others.”

Tuesday:

• Blog Post- Ontario’s Bill 168 in Effect Today

“Workplace violence and harassment continue to negatively impact the workplace. Newly introduced legislation, such as Ontario’s Bill 168, defines measures employers can take to protect employees from threatening work situations. When preparing policies and procedures to comply with such laws, it’s important to consult with employees. Employees are an employer’s number one resource for identifying workplace risks, as they are the ones performing their jobs on a consistent basis. It’s important for employers to remember that the time spent creating policies and training employees is an investment in a safe workplace.”

Wednesday

• Blog Post- Insurance Fraud Investigations

“During tough economic times, many speculate there to be an increase in the number of fraudulent insurance claims made. The Coalition Against Insurance Fraud reports that in the US alone, $80 billion is lost to insurance fraud each year. There have been numerous pieces of legislation created to crackdown on insurance fraud. Insurance fraud has been classified as a crime in the US, with almost every state establishing its own fraud bureau. In Canada, the Insurance Crime Prevention Bureau was created to gather information and carry out investigations regarding insurance fraud. In the UK, fraud has been labeled as a crime under the Fraud Act established in 2006.”

Thursday:

• Blog Post- International Code of Conduct: United Parcel Service

“Writing globally accepted ethics policies is a challenging task for any business. Varying in culture, ethics, laws and employee expectations, no country conducts business in the exact same way. At United Parcel Service (UPS), the global presence of the company meant establishing international standards for all of the company’s employees. The successful integration of the UPS code of conduct into global operations demonstrates how understanding cultural differences and employee needs helps management develop policies that are easily understood by all- regardless of the country the employee operates out of.”

It seems to be that each week is busier than the last. Here are some of the things we blogged about this week- as well as some other pieces that caught our attention regarding internal investigation, human resources and ethics:

Monday:

• Blog Post- Surveys Continue to Report Increases in Workplace Fraud

“The state of the economy and selecting countries to expand into are only two of the many factors raising questions related to the risks of workplace fraud. There have been a number of studies completed to determine changes in the levels of workplace fraud and the factors impacting them. In recent years, surveys and reports consistently conclude workplace fraud is increasing. The risks associated with fraud can be mitigated as ethics and compliance enforcement continues to grow. However, it’s important to remember the focus on ethics and compliance varies globally.”

Tuesday:

• Blog Post- Recognized For Ethics- CSR Press Release

“Good ethics pay off. Recently, Visa, Capital One, Best Buy, Carnial, DirecTv and Tawuniya were presented with OECG GRC Achievement Awards. These companies have each developed a project to better integrate governance, risk management and compliance into their respective companies. Projects such as employee blogs, defining risk structures and ditching spreadsheets for software are some of the solutions these companies have used to conduct consistent investigations and improve data analysis.”

Wednesday

• Blog Post- Thomson Reuters Media: Improving Business With Information

“Thomson Reuters is responsible for delivering current, accurate information to global decisions makers. Thomson Reuters is consistently recognized for commitments to ethics and social responsibility. Through securing spots on Ethisphere’s World’s Most Ethical Companies, Fortune’s World’s Most Admired Companies and Corporate Knight’s Best Corporate Citizens listings, Thomson Reuters demonstrates a commitment to developing innovative ways to improve business process through the use of information. Thomson Reuters brings information into emerging markets, helping breakdown social barriers.”

Thursday:

• Blog Post- Fighting Bribery in the UK

“Corruption and the bribery of foreign public officials has gained significant public attention- especially since the verdict in the Siemens case.  The company was fined $1.6 billion, which is the largest fine administered to-date for violating the FCPA. The severity of the fines handed out are intended to send a message to all corporations, informing them of the consequences they will face if found to be engaging in corrupt practices. According to the Ministry of Justice in the United Kingdom, bribery ” is a serious crime that destroys the integrity, accountability and honesty that underpins ethical standards both in public life and in the business community.” “