How an Investigator May Assemble the Pieces of the Investigation Process?
The Investigations Team is the core group of lawyers who conduct all internal investigations. Their role and responsibilities are to conduct the actual investigations as well as collect and organize all evidence and testimony, prepare reports, and present them to management and to the board of directors of any company. While many different specialties can be used to describe an Investigator’s job, most investigators specialize in one of two major areas. While there are several specific set areas within which investigators can specialize, they primarily focus on one of two areas.
Internal investigations generally begin with a preliminary assessment of a problem that has come to light, often as a result of an employee’s actions or inactions. Initial investigations may also be called for by public regulatory agencies such as OSHA or the CFDA. Initial investigations may be performed internally by a company manager or human resources department. The second type of internal investigation occurs when the company or law enforcement officials require an outside party to conduct a more in-depth investigation to obtain additional information.
All investigations must begin by establishing a risk profile framework. This framework represents the expectations of the organization in regard to risks that it faces, and what it is capable of moving forward to address those risks. For example, one area that could be included on the risk profile is compliance. Violations or potential violations of any part of the Securities Exchange Commission’s Regulation D may need to be included on the appropriate documents. Initial investigations may also be required based on witness testimony, internal or third party audits, or even ex parte court orders.