Module 1

Module One: An Introduction to Internal Investigations

Module Introduction

• Internal investigations require an intricate and in-depth process.

• Focus areas:

  • Advantages of having internal professionals conduct investigations.

  • Situations when third-party investigators may be necessary.

  • Framework for conducting a formal internal investigation.

  • Importance of transferring and applying knowledge gained from learning activities.

Reflecting on Internal Investigations

• Consider past involvement (or lack of involvement) in investigations and how it might contribute to present understanding.

Investigations: The Practice of Learning

• Significance of identifying specific knowledge, skills, and insights from learning experiences.

  • Professor Brecker emphasizes the need for students to transfer and apply learning.

• Learning actively involves:

  • Periodic reflection on key learnings every 45 minutes before progressing to new information.

Understanding Knowledge Transfer

• Definition of transferring information:

  • Not limited to practicing or using that information.

  • Observing use by others or potential application missed.

  • Teaching the material to reinforce understanding.

• Measurement of application involves identifying examples of usage, discussing when potential applications were missed, and observing others' utilization of knowledge.

• Importance of considering applicable practices both in professional settings and personal lives.

The Internal Investigations Process

• Conducting internal investigations requires a step-by-step application of knowledge and skills.

• Continuous reflection on learning is vital due to complexities and nuances involved.

• Importance of reinforcing key learnings throughout the course of study.

Key Learning Identification

• Students are encouraged to keep a mental or written list of key learnings for regular review.

• Emphasis on utilizing this list to identify competencies for further development.

Process of Transferring and Applying Learning

• Steps to effectively transfer learning:

  1. Reflection Prompt: Engage in reflective thinking to capture key learnings.

  2. Selection of Key Learning: Choose one key concept or insight to focus on for application.

  3. Transfer of Learning: Actively go beyond merely using knowledge by:

     • Noticing its application or missed opportunities by self and others.

     • Teaching the concept to others to solidify understanding.

  4. Evaluation of Application: Assess whether the chosen learning is used in real situations; document specific examples.

  5. Regular Review: Maintain a habit of reviewing key learnings and selecting ones for ongoing application.

The Internal Investigations Framework: Six Circles

• Conceptualization of an internal investigation as six interrelated circles:

  1. Identify issues that are the basis of the complaint.

  2. Investigate issues by gathering information.

  3. Conclude the investigation.

  4. Determine outcomes of the investigation.

  5. Implement the outcomes.

  6. Evaluate the overall process.

Distinction Between Concerns and Complaints

• Definition and differentiation:

  • Concerns: Situations that do not involve serious policy violations and require an informal process.

  • Complaints: Serious policy violations that require a formal investigation process.

• Informal process to address concerns consists of three steps:

  1. Raising the concern.

  2. Looking into the concern.

  3. Resolving the concern.

Formal Internal Investigations

• Importance of conducting investigations for serious complaints.

• Need for a comprehensive investigative process includes:

  • Collecting detailed accounts from both the complainant and the accused.

  • Gathering additional evidence to help reach conclusions about policy violations.

• Potential risks include lawsuits and reputational damage via social media.

• Emphasis on the need for fairness and thoroughness within the formal process.

Internal vs. External Investigators

• Who conducts investigations?

  • Internal Investigators:

    • Advantages include knowledge of the organization, staff, and policies.

    • They can identify trends, ensure fairness, and manage the investigatory process.

  • External Investigators:

    • Usually hired for specific cases where impartiality is crucial or internal conflicts exist.

    • Can conduct parts of the process without being involved in outcomes.

Scenarios for Engaging External Investigators

• Examples when external assistance is warranted:

  • Sensitivity of the allegations (e.g., harassment claims against senior officials).

  • Complexity of situations involving numerous complaints against multiple individuals.

  • Lack of qualified internal investigators in multi-national settings.

Insights from Gail Wasserman on Investigating High-Level Managers

• Experiences with handling sensitive complaints from senior executives.

• Internal structures vary based on organizational resources and needs.

  • Larger organizations may have dedicated investigation teams for varying severity levels of complaints.

• Factors for hiring external investigators stem from:

  • Conflict of interest with internal investigators.

  • Serious issues or those involving highly placed personnel need external neutrality.

  • Managing sensitive matters where independent perspectives are critical.

Investigating Employee Complaints

• Different ways to learn about employee complaints include:

  • Direct reports by employees.

  • Third-party reports, anonymous tips, or indirect complaints (e.g., through vendors, customers).

• Each type introduces unique challenges to the investigation process.

Module Wrap Up

• Summary of key elements learned:

  • The internal investigations framework structure.

  • Differences between formal complaints and informal concerns.

  • Understanding the roles of internal versus external investigators and methods for receiving complaints.