Roughly half of in-house ethics investigations are not substantiated, depending on many variables. A recent article by Adam Balfour in CE Ideas & Answers offers thoughts on learning from these outcomes to improve investigations and processes.
- Proper Investigation Handling: It’s crucial to ensure investigations are conducted by professionals with appropriate knowledge and experience. Inexperienced investigators might wrongly conclude that complex matters are unsubstantiated.
- Investigator Analysis: Use individual scorecards to evaluate investigators’ substantiation rates. A rate differing from the average doesn’t automatically imply poor performance but requires understanding their investigation approach and insights.
- Policy Adequacy: A low substantiation rate might indicate inadequate policies or lack of understanding among employees. Evaluate existing policies and consider additional training to address any disconnect and maintain trust within the organization.
If the overall substantiation rate is too high or too low, it’s a signal to ask more questions and gain deeper insights into organizational matters.
Read the brief article here.