Tagged: internal investigation

Episode 13 — Top 10 Rules for Conducting Internal investigation Interviews

To implement an effective ethics and compliance program, global companies have to establish an effective internal investigation program.  Whether conducting a critical or routine investigation, investigators have to be able to conduct interviews in a fair and effective manner.  The success of an internal investigation often depends on the interviews of subjects and witnesses. In this podcast, Michael Volkov reviews his top 10 rules for...

Should You Record Internal Investigation Interviews?

As a former federal prosecutor, I noticed a renewed discussion of the important question of whether witness interviews should be recorded (either audio or video). I have always found this issue to be interesting and have welcomed discussion of the pros and cons of recording witness interviews. In this era of focus on prosecutorial misconduct, the issue has taken on greater importance. For example, in...

When Your Internal Investigator Fails to “Investigate”

A number of recent FCPA enforcement actions have cited common compliance program failures relating to internal investigations. For example, PTC settled FCPA charges with the DOJ and SEC for $28 million. According to the factual statements, PTC conducted three internal investigations focusing on alleged illegal payments to Chinese government officials and failed to uncover the illegal scheme. I would be curious to hear why these...

Yates, Whistleblowers and FCPA Pilot Project: Re-Examining Your Internal investigation Protocols

Companies face an ever-changing constellation of risks, enforcement priorities and demands for internal controls and compliance program elements. As more resources are poured into government enforcement programs, companies have to “reinvent” compliance programs to incorporate new priorities and demands. Many companies have established complaint systems and internal investigation programs to conduct routine and serious investigation. In most cases, these systems do not adequately address whistleblower...

A Fair Assessment of the Impact of the Yates Memorandum

Never argue with stupid people, they will drag you down to their level and then beat you with experience. – Mark Twain If only Mark Twain were alive today, he would have many opportunities to articulate his wisdom, especially when it comes to politicians. Not to say that the compliance field is as important as politics (or would have been a good target), but I...

Incident Management – The New Frontier

Compliance programs are required to create and manage case investigation systems to handle potential misconduct, investigate allegations of wrongdoing and then dispense discipline. Lessons learned from these investigations are valuable sources of information to improve compliance programs. Chief compliance officers play a critical role – either supervising the internal investigation system or coordinating with other functions in the organization to monitor internal investigations. Along the...

Focusing on Internal Investigations

A speak up culture is an important component of a company’s commitment to organizational justice. All of the pieces of an internal justice system have to fit together and are interdependent. When one part does not work, the whole system does not work. A robust internal investigation system is a critical component of organizational justice. Companies often pull together the basic components of an internal...

New E-Book: The Art of the Internal Investigation

I am pleased to announce the release of my new e-book — The Art of the Internal Investigation — by Corporate Compliance Insights.  To download a free copy, please visit here. Conducting an internal investigation in today’s risky enforcement environment requires numerous — if not continuous — judgement calls.  Stakes are high, and answers are never black-and-white. In this free eBook, Michael Volkov wields his...