Close

Are you in compliance?

Don't miss out! Sign up today for our weekly newsletters and stay abreast of important GRC-related information and news.

×

Status message

Start your free, no obligation 10-day trial to continue exploring with full access.

What is your investigation protocol?

Tom Fox | January 15, 2018

What should be in your investigative protocol. I would suggest five steps: (1) Opening and Categorizing the Case; (2) Planning the Investigation; (3) Executing the Investigation Plan; (4) Determining Appropriate Follow-Up; and (5) Closing the Case. If you follow this basic protocol, you should be able to work through most investigations, in a clear, concise and cost-effective manner. Furthermore, you should have a report at the end of the day that should stand up to later scrutiny if a regulator comes looking. Finally, you will be able to document, document, and document, not only the steps you took but why and the outcome obtained.

Step 1: Opening and Categorizing the Case. This first step, to categorize a compliance violation and it should be accomplished in one to three days after the allegation comes into compliance.

Step 2: Planning the Investigation. After assembling your investigation team, determine the required investigation... To get the full story, subscribe now.