Chapter 1: Three Triggers for an Internal Investigation

Chapter 2: Internal Investigations Save You Money

Chapter 3: Weighing the Costs of Investigations

Chapter 4: Cooperation, Self-disclosure and Reputation

Chapter 5: How Case Management Software Helps

When outlining the components of an effective ethics and compliance program, the Federal Sentencing Guidelines require that once criminal conduct has been detected, a company must take reasonable steps to respond appropriately to the criminal conduct and prevent similar behavior from occurring in the future. This means that employers need to know about misconduct as soon as possible so that they can inform the appropriate parties and begin an internal investigation.

Case management software is a powerful tool that can help investigators conduct timely, effective and efficient investigations. Given the need for quick action, there are a number of case management software features that help companies to comply with the requirements of the Federal Sentencing Guidelines.

1. Alerts

A case management system that contains built in alerts notifies managers and investigators when a new case is entered. Risk based alerts can also be deployed to notify management of high risk or high priority cases.
To make sure every investigation stays on track and is completed on time, alerts are sent throughout the investigative process. Alerts can be set up to remind investigators of due dates, meetings and other investigation-related tasks. Alerts can also be used to bring attention to inactive cases, overdue tasks and other areas requiring immediate attention.

Alerts reduce lag times, allowing investigators to start working on the case right away, buying valuable time at the outset so that cooperation with authorities is seen to be timely and information turned over is comprehensive. They also help keep investigations on track, ensuring that deadlines are met and all information is entered when due.

2. Web-based Systems

A hosted, web-based case management solution is easy to access from anywhere with an internet connection. Non-stop availability means that cases can be entered as events occur, reducing response time for workplace incidents and misconduct.

A hosted case management system is beneficial for traveling investigators, as they simply need a laptop and an internet connection to access case files. Any changes made by others while the investigator is offline are documented in the case file and available immediately to the investigator.

Case activity is kept up-to-date and listed in chronological order, along with information about when the activity was completed and by whom. This provides investigators with the ability to prepare detailed reports, especially useful if the case ends up in court.

3. Capture New Referrals

A web-based case entry system can also be used by employees to report incidents anonymously, alerting management to an issue that may require an investigation. If employees can only report misconduct while at work, they might be less likely to do so for fear of retaliation.

Web-based case management software allows you to capture incidents through:

• Integration with existing hotlines/reporting mechanisms
• Manual entry by a manager who was informed of misconduct
• Anonymous and known reporting through an internal web form on the company’s intranet
• Web forms posted on external company websites

4. Case Centralization

A centralized case management system simplifies the investigative process by storing all case related information in a single location. Investigation notes, evidence, emails and other information are all stored within the case file, making it easier for investigators to locate the information they need.

5. Identify Repeat Offenders

Centralized oversight makes it easier to identify and deal with repeat offenders and provides a broad overview of misconduct in an organization. Incidents reported in different areas of a company may be related, and this becomes obvious with centralized oversight of the investigations process. Management can sometimes prevent new incidents by identifying patterns and linkages between investigations and subjects.

6. Reporting

Preparing investigation reports can be a time-consuming process – especially when there’s a lot of evidence and multiple investigators involved in the case. A case management system allows investigators to create comprehensive reports with the click of a button. Information is extracted from the case file into a customized investigation report template, saving time and ensuring accuracy.

Investigation reports that are prepared in a case management system are consistent and accurate, no matter who prepares them, making them effective evidence in a court case.