By Adam Turteltaub

Few people know more about conducting a compliance investigation than Georgina Heasman, Senior Manager, Global Investigations at Booking Holdings and Wendy Evans, Senior Corporate Ethics Investigator, Lockheed Martin.  The two of them are the co-authors of our new book Fundamentals of Investigations:  A Practical Guide  and lead our Fundamentals of Compliance Investigations Workshop.

Not wanting to miss out on their expertise, we scheduled two podcasts with them.

In this, the first of the two, they share a broad overview of best practices for conducting investigations.  Those include ensuring that even compliance team members not responsible for investigations have at least a fundamental understanding of them.

As for the investigation itself, they explain, to go well it begins with the first report.  There has to be a clear line of communication and a culture that encourages employees to come forward.

Once you receive that initial contact, it’s important to remember that it tells the story only from one side. You need to ask questions to clarify what was seen and heard and start thinking about what other information you will also need to gather.  To keep the information flowing, they recommend telling the reporter and everyone else you interview to reach out to you again if additional information comes to mind.

While testimonial evidence is invaluable, don’t stop there.  As you gather the who, what, when and where, be sure to look for the documentary evidence that you need, which requires having strong relationships with departments that have it, such as HR and security.

And, throughout the process, stay focused to avoid going down rabbit holes or getting inundated with more information than you need.

Listen in to learn more, and be sure to check out Fundamentals of Investigations:  A Practical Guide  and the Fundamentals of Compliance Investigations Workshop.