Skip to main content
COMPLIANCE-INVESTIGATIONS5 MIN READ

Build an investigation workplan

Draft a one-page investigation workplan that aligns scope, roles, evidence, interviews, and milestones.

A hotline report alleges a vendor was approved despite a conflict of interest. The team needs a plan before evidence collection and interviews begin. Investigation workplan: scope, roles, evidence, interviews, milestones. The common shortcut is to start collecting documents because everyone feels aligned. The gaps only appear later: no accountable owner, duplicated interviews, missing records, and unclear closeout standard. Scope Write the investigation question: "Determine whether Vendor Delta was approved between April 1 and June 30 despite an undisclosed employee conflict, and whether approval controls operated as designed." The scope names conduct, party, period, and control question. Roles Assign Legal…

Read the full lesson

Sign up free — one personalized lesson every day, matched to your role and goals.

Already have an account? Sign in

← Back to library
Contact us