This week we focused on the tactics Xerox used to rebuild its corporate impage after the 2002 accounting scandal charges. Other topics discussed this week include investigating sexual harassment allegations in the workplace and measures companies can use to protect the personal information of employees and clients. Here’s a review of our posts from this week:

Monday:

• Blog Post- Xerox’s Accounting Scandal Recovery Tactics

“The turn of the century was marked with a number of accounting and ethics scandals that would significantly alter the importance of corporate ethics and compliance. The Securities and Exchange Commission (SEC) began investigating the accounting practices at Xerox in 2000, which eventually led to Xerox agreeing to pay a $10 million settlement. During Xerox’s post-scandal transformation, Sarbanes-Oxley came into effect to improve financial and accounting compliance. Today, Xerox has turned their practices around and secured a spot on numerous ethical company lists. This post discusses the tactics deployed at Xerox to regain consumer confidence and instill ethics and compliance back into the company.”

Tuesday:

• Blog Post- The SCCE’s Annual Compliance & Ethics Institute in Chicago

“We, Customer Expressions, will be sending a team down to Chicago to attend the  Annual Compliance & Ethics Institute, hosted by the Society of Corporate Compliance and Ethics. The conference runs from September 12-15 and features presentations from chief compliance and ethics officers, CEOs, certified compliance and ethics professionals, lawyers, compliance analysts and many other professionals in the field of ethics, compliance and risk management. While we are away, we will be blogging from the event and interviewing industry professionals.”

Wednesday:

• Blog Post- Investigating Workplace Sexual Harassment Allegations

“Sexual harassment occurs all too frequently in the workplace. Many recent sexual harassment allegations that have been made have been directed at top level executives. As investigators, you understand the value of maintaining compliance, confidentiality and promptness when investigating incidents of sexual harassment. Regardless of the employee’s level in the organization, each investigation must be handled with objectivity, follow company policies and reprimand those found guilty of policy violations. Previously, we blogged about a number of sexual harassment related topics, including developing anti-sexual harassment policies, tips for preventing and detecting sexual harassment, as well as the different forms of sexual harassment against males and females in the workplace. This post will focus on addressing sexual harassment complaints and investigations into sexual harassment allegations, to ensure company policies are enforced and violators face appropriate consequences.”

Thursday:

• Blog Post- Gaining Control Over Personal Information Privacy

“The issue of personal information protection is a hot topic. Companies such as Google and Facebook have been questioned in regards to their privacy policies, as the personal information gathered from users has been leaked to the public on multiple occasions. Most recently, the University Health Network made headlines when patient information was leaked due to the theft of an unprotected USB key- we discussed the topic in the post “Maintaining Information Security and Privacy.” Sharing information has been made easier due to the Internet and electronic files, which raise concerns when it comes to regaining control over personal information protection. As technology advances, the risks surrounding information privacy continue to increase. Will your organization be ready to respond to tighter information controls?”

This week we continued to look at the lessons learned from the HP CEO ousting, as well as the dramatic exit of JetBlue employee Steven Slater. Focusing on key topics such as tips for detecting harassment and discrimination in the workplace and employee theft investigations, here’s a review of our posts from this week:

Monday:

• Blog Post- Civacon Reduces Complaints and Reporting Time With i-Sight Quality and Correction Action Software

“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.”

Tuesday:

• Blog Post- The Warning Signs of Workplace Harassment and Discrimination

“For some, the work environment can be an unwelcome place. Employees who fall victim to workplace discrimination or harassment react differently- some confront the issue by discussing it with their manager, while others, in the case of last weeks feed up JetBlue employee, grab a beer, release the emergency exit and slide on out in a dramatic exit. Employees don’t always feel comfortable bringing harassment and discrimination incidents forward, as fear of retaliation and being singled out by fellow employees adds additional stress to the employee. In some workplaces, the culture and tone from management may also hinder an employee’s willingness to come forward. In many jurisdictions, employers are legally responsible for providing employees with a safe, harassment and discrimination free workplace. Employers need to know how to monitor and recognize signs of harassment and discrimination in the workplace. Recognizing the signs and symptoms of distressed employees helps to identify workplace issues and draws attention back to sections of the company code of conduct that may need to be reinforced or require additional training.”

Wednesday:

• Blog Post- Conducting Effective Employee Theft Investigations

“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.”

Thursday:

• Blog Post- Learning From Ethical Lapses

“There have been countless articles written since August 6^th, when HP ousted their now former CEO, Mark Hurd. In particular, this article from the Wall Street Journal focuses on the importance of proper expense reporting and how the HP example has already served as a lesson in numerous workplaces. The article features comments from ERC President, Patricia Harned, in which she states:

“Companies will often use very public cases as a teachable moment to remind employees why certain policies are so important.”

The article discusses the increased harshness faced by executives who make poor, unethical decisions, as they are supposed to be leaders and set an example for their employees. The article also features a great discussion about the importance of administrative staff in detecting inaccurate or unjust expenses.

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.

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- Maintaining Information Security and Privacy

“Early last week, a USB key containing hundreds of Ontario patient health information files was stolen. According to the CBC, the USB wasn’t encrypted and was stolen from the purse of a University Hospital Network (UHN) employee. The theft of these files has resulted in a call for efforts to increase the security of sensitive information. This is the second instance in under a year where private patient information was compromised in Ontario due to theft. The lesson learned from this story can be applied to any business that maintains client or customer personal information records: make sure sensitive information is encrypted. Controlling access to information can further prevent information security breaches, as the number of people viewing sensitive information is decreased. Regular evaluation of training programs and internal procedures related to information security must be undertaken to ensure each employee is completing the necessary steps to safeguard information. ”

Tuesday:

• Blog Post- HP CEO Violates Company Code of Conduct

“On Friday, HP CEO Mark Hurd was asked by the company’s board of directors to submit his resignation. As reported in the TechCrunch Article “HP CEO Mark Hurd Resigns, This Looks Messy,” the outcome of an investigation into sexual harassment allegations against Hurd “concluded that there was no sexual harassment violation, however it did find that Hurd violated HP’s ‘Standards of Business Conduct.‘” When news broke about his departure, Hurd claimed he himself hadn’t lived up to his own standards regarding integrity and respect. Therefore, if he wasn’t able to live up to these standards himself, what message does that send to the rest of the employees at HP?”

Wednesday:

• Blog Post- Whistleblowers Granted Additional Protections Under Dodd-Frank Act

“Employers must be prepared to follow new legislation that has been enacted to increase protections for whistleblowers. The recent passing of the Dodd-Frank Act continues to follow the trend towards putting an end to whistleblower retaliation- as well as rewarding whistleblowers for bringing forward evidence of unethical or criminal acts taking place within an organization. Whistleblowers can become victims of retaliation whether it comes from managers or fellow employees.”

Thursday:

• Blog Post- Ethics Resource Centre Releases Information on the Cost of Workplace Retaliation

“As part of the National Business Ethics Survey conducted by the Ethics Resource Centre (ERC), the ERC releases supplemental research briefs that focus on a number of topics from the survey in a more detailed manner. The most recent release featured information pertaining to the cost of retaliation on both the company and its employees. As mentioned in yesterday’s post about the Dodd-Frank Act and its whistleblower protections, retaliation is a growing concern in the workplace. In many organizations, employees are an employer’s eyes and ears when it comes to catching workplace misconduct. To establish a workplace that is safe and enjoyable for all, employers must work to create an environment that encourages the reporting of misconduct. The ERC survey concluded that companies with a zero tolerance policy for retaliation experienced very few instances of retaliation, which demonstrates that efforts to prevent retaliation do have an impact.”

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:

Tuesday:

• Blog Post- Deloitte’s 2010 Ethics & Workplace Survey

“As with any human relationship, once the trust is gone, the relationship usually goes with it. Last week, Deloitte released the findings of their annual Ethics & Workplace Survey. The focus of the survey this year was on trust in the workplace. Deloitte began publishing their annual Ethics & Workplace Survey back in 2007.  The points of concern identified in the survey provide business leaders with insight into growing issues that must be addressed in order to retain valuable employees. The ethics and trust gaps identified in the survey bring to light the different views employees and employers have in regards to these two areas. After reviewing the results and methodology of the 2010 Ethics & Workplace Survey, I have put together some advice for rebuilding ethics and trust within the workplace.”

Wednesday:

• Blog Post- Ethics Resource Centre

“For the past 88 years, the Ethics Resource Centre (ERC) has been a source of information and guidance for ethics and compliance professionals everywhere. The information provided by the ERC serves as a benchmark for companies when gauging the success of their own ethics and compliance programs. The ERC conducts both national and private, single organization surveys, and publishes the results to help businesses and government agencies understand trends, gaps and best practices in ethics and compliance.”

Thursday:

• Blog Post- Investigations in the Financial Services Industry

“Workplace investigations vary between industry sector and must be tailored to the incident under investigation. In the financial services industry, there is an increased number of risks companies face, especially during tough economic times. Fraud, money laundering and compliance issues are only a few basic examples of financial crimes that require timely, thorough investigations. Financial crimes not only impact the reputation and sustainability of companies, but these crimes also have severe social impacts that change the lives of investors and the public at large. For example, the Madoff ponzi scheme left hundreds of thousands of people without their entire life savings, and for some, bankruptcy.”

Workplace investigations vary between industry sector and must be tailored to the incident under investigation. In the financial services industry, there is an increased number of risks companies face, especially during tough economic times. Fraud, money laundering and compliance issues are only a few basic examples of financial crimes that require timely, thorough investigations. Financial crimes not only impact the reputation and sustainability of companies, but these crimes also have severe social impacts that change the lives of investors and the public at large. For example, the Madoff ponzi scheme left hundreds of thousands of people without their entire life savings, and for some, bankruptcy.

Today, investigations in the financial services industry are incredibly complex, as schemes cross multiple borders and are global in scope. This post covers some of the challenges investigators encounter during financial investigations, as well as some solutions for implementing flexible reporting systems that make it easier to conduct investigations on a global scale.

Financial Services Investigations

As with any type of investigation, once a tip or information pertaining to the presence of a financial crime has been received, a preliminary investigation must be conducted immediately to determine if the information warrants a full-fledged investigation. If the allegations lead to suspicious activity, the case must be assigned to the appropriate investigator in order to conduct the investigation in a timely manner. Gathering evidence and conducting interviews are challenging in a financial crime investigation. According to the IRS:

“Financial investigations are usually very document-intensive. Specifically, they involve records, such as bank account information, real estate files, motor vehicle records, etc., which point to the movement of money. Any record that pertains to or shows the paper trail of events involving money is important. The major goal in a financial investigation is to identify and document the movement of money. The link between where the money comes from, who gets it, when it is received and where it is stored or deposited, can provide proof of criminal activity.”

Managing the large volumes of evidence associated with financial crimes investigations can be overwhelming and difficult to track. i-Sight simplifies evidence management by allowing evidence to be attached directly to the case file. Electronic evidence- e-mails, documents, images, video and audio clips; can be attached directly to the case file. To manage physical evidence, i-Sight generates printable barcodes that can be attached to the exhibit and records information in the case file.  Exhibits are automatically numbered and categorized (witness statement, interview video, etc.). Investigators can also describe the contents of the exhibit for easy reference within the case file.

Compliance with state and federal laws are mandatory requirements for all financial crime investigations. Compliance standards are built into the workflow rules in i-Sight to ensure compliance with laws such as the Bank Secrecy Act, Sarbanes-Oxley, Basel II and the Patriot Act. As laws and regulations are amended, changes can be easily made to the i-Sight system to reflect the updated laws. 

Manually reporting on financial crime investigations is incredibly time consuming, as there’s a lot of information to sort through. Investigation software drastically reduces reporting time by extracting information and evidence from within the case file and placing in a customized investigation report template at the click of a button. Information gathered during a financial crime investigation usually needs to be shared with members from other agencies and regulatory bodies. State agencies and other regulators can be granted access to specific cases in i-Sight as needed, allowing them to view and print the data required to support criminal proceedings. This feature makes it easier to share information. Privacy is maintained as case access can be granted and restricted as needed.

Lastly, implementing a web-based investigation software system helps investigators overcome geographic barriers during investigations. i-Sight stores cases in a centralized location, making them accessible from any location. Since many financial crimes involve cross border transfers of money, investigative teams overseas can collaborate on investigations with investigators in North America- all that’s required is an Internet connection. Web-based solutions reduce the amount of time spent on investigations, while also reducing investigative costs, as the amount of travel requested of investigators is greatly reduced.

i-Sight Investigation Software for Financial Services

Regulatory drivers including the BSA, Patriot Act, Basel II and Sarbanes-Oxley have created a demanding mandate for financial institutions. i-Sight Compliance Investigation Software provides financial institutions with a workflow driven solution for managing compliance investigations. i-Sight is fully customizable, designed to ensure compliance with the above mentioned regulations and legislation. i-Sight provides investigative units with a system to quickly respond to suspicious claims and other fraud alerts. i-Sight uses a workflow engine to ensure proper assignment of cases and escalation of cases or tasks that are overdue. Investigators are able to record contacts, notes, activities, evidence, and generate emails, template letters and to-do’s.

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- Integrating Ethics and Compliance Into the Entire Organization

“There’s no point investing in and implementing an ethics and compliance program unless the time is spent integrating the program into every aspect of an organization. The need for companies to develop effective ethics and compliance programs has been acknowledged by several government agencies- examples are the SEC in the US and the government in the United Kingdom. Both groups have recently passed legislation or made amendments to existing guidelines, focusing heavily on the importance of ethics and compliance at all levels of an organization- especially at the top. Employees at each level contribute to the success of a company’s ethics and compliance program. Integrating ethics and compliance at each level helps ensure the message from the top makes it all the way down to the lower levels of the organization. Training, messages and other ethics and compliance initiatives must be developed to evolve with employees as they move through the company. That being said, employees at various levels need to be prepared to address different ethical issues they may encounter based on the role they play in the organization.”

Tuesday:

• Blog Post- Reducing the Opportunity for Workplace Fraud

“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.”

Wednesday:

• Blog Post- Recovering From Ethical Lapses and Investigations: Siemens

“The $1.6 billion fine handed down to Siemens in 2008 was much more than a record breaking fine, it was a lesson for other companies to learn from. Prior to the bribery scandal, Siemens had an ethics and compliance program in place, however, there was a missing link between leadership and the enforcement of the program. The company’s cooperation during the SEC investigation lead to a reduced penalty, but also gave way to a complete re-design of the company’s internal ethics and compliance controls. There are many lessons learned from the Siemens charges, the reaction to the investigation and the actions taken by Siemens to position the company as an ethics and compliance leader in the post-scandal era.”

Thursday:

• Blog Post- The Importance of Investigation Interview Credibility

“In order for a workplace investigation to be credible, investigators must deploy certain tactics to verify the accuracy of interview responses. In a previous post, Investigation Interview Questions to Determine Credibility, we reviewed the EEOC’s 5 factors to consider when determining statement credibility during investigation interviews. One of the toughest challenges to overcome during investigation interviews is the fact that witnesses may withhold or modify their responses to protect the subject- or the complainant and possibly even themselves. As investigators are often pressed for time when conducting internal investigations, they cannot afford to get hung up on determining who is correct in the “my story vs. their story” battle. We have compiled a list of simple tips and techniques investigators can use to determine investigation interview credibility.”

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- Investigating Workplace Bullying Allegations

“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. ”

Tuesday:

• Blog Post- Best Practices in Supplier Responsibility: IBM

“IBM is committed to developing solutions to improve the transfer of information and providing businesses with solutions to simplify their business processes. In 2004, IBM became one of the founding members of the Electronic Industry Citizenship Coalition (EICC). IBM abides by- and helped to develop, the framework established by the EICC as guidance for their supply chain social responsibility program. In one of our previous posts, “The Importance of Supply Chain Ethics and Compliance,” I wrote about the importance of an ethical supply chain. As product parts are manufactured all over the world, it’s important that companies take responsibility to ensure all members of their supply chain act in a socially responsible manner. Companies are encouraged to review and implement their ethics, compliance and social responsibility policies within companies involved in the supply chain.”

Wednesday:

• Blog Post- i-Sight Investigation Software: Simplifying Case Management

“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.”

Thursday:

• Blog Post- Global Reporting Initiative

“The Global Reporting Initiative is comprised of a very large group of experts who collaborate on the development of global standards for sustainability reporting. Joining the GRI is voluntary. With transparency and sustainability emerging as growing trends in the late 1990’s, the GRI was created to provide companies with a standardized sustainability reporting framework. Dissatisfied with the level of transparency in corporate reporting, the GRI works to make sustainability reporting mandatory, as opposed to voluntary. In a previous post, “Social Responsibility Reporting Best Practices: Allstate,” I discussed the application of the GRI reporting techniques at Allstate. The economic downturn has forced businesses and their leaders to make changes to their internal controls and business processes by adopting sustainable solutions.”

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.

Demo Request:

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.”